Articles Posted in Aegis

Aegis Capital Fined by SEC & FINRA in Connection With Certain Penny Stock Transactions
InvestorLawyers

Investors in speculative microcap and nanocap securities may have arbitration claims to be pursued before FINRA, in the event that the recommendation to invest lacked a reasonable basis, or if the nature of the investment, including its risk components, was misrepresented to the investor. Both FINRA and the SEC have issued ample guidance with regard…

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