March 29, 2018 BY Valentina Kirilova

FINRA fines Aegis Capital Corp. $550,000

It's a tough day for Aegis Capital Corp. getting fined not once, but twice - this time by the Financial Industry Regulatory Authority (FINRA). The amount was $550,000 and the reason was failing to have adequate supervisory and anti-money laundering (AML) programs tailored to detect "red flags" or suspicious activity connected to its sale of…

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