Customers Sue Aegis Capital Corp For Unreasonable Investment Advice Aegis Capital Corp (CRD#: 15007, New York, New York) is a brokerage firm established on January 15, 1984 that is regulated by Financial Industry Regulatory Authority (“FINRA”) and an investment advisor firm registered with the Securities and Exchange Commission (“SEC”). Since establishment, Aegis has amassed 32 […]

The Soreide Law Group, PLLC, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” The information has been condensed. Vincent Au (CRD #2005219, Registered Principal, New York, New York) was fined $20,000, suspended from association with any FINRA member in any capacity for 30 days, and […]