Suspicious Transactions

The SEC <a href="http://www.courthousenews.com/wp-content/uploads/2018/03/SEC.Aegis_.pdf">fined</a> New York brokerage firm Aegis Capital Corp. $750,000 on Wednesday for failing to file Suspicious Activity Reports on numerous transactions indicating market manipulation. The CEO of Aegis and another officer were <a href="http://www.courthousenews.com/wp-content/uploads/2018/03/SEC.McKenna.pdf">fined</a> $40,000 and $20,000, respectively, and <a href="http://www.courthousenews.com/wp-content/uploads/2018/03/FINRA.pdf">FINRA fined Aegis</a> another $550,000.

WASHINGTON — The SEC fined New York brokerage firm Aegis Capital Corp. $750,000 on Wednesday for failing to file Suspicious Activity Reports on numerous transactions indicating market manipulation. The CEO of Aegis and another officer were fined $40,000 and $20,000, respectively, and FINRA fined Aegis another $550,000.

Categories / Securities

Subscribe to our free newsletters

Our weekly newsletter Closing Arguments offers the latest about ongoing trials, major litigation and rulings in courthouses around the U.S. and the world, while the monthly Under the Lights dishes the legal dirt from Hollywood, sports, Big Tech and the arts.