Investors in Aegis Special Situation Funds, managed by Aegis Capital, might be facing unexpected challenges. These funds, which focus on acquiring shares in mid- to late-stage pre-IPO technology and services companies, have attracted scrutiny due to concerns about their performance and the appropriateness of investment recommendations made by financial advisors. Below, Soreide Law Group will […]

The following summation of information from FINRA's website listed under “Disciplinary and Other FINRA Actions, April, 2015,” was obtained by the Pompano Beach, Florida-based Soreide Law Group, (888) 760-6552. Roger Kumar Jr. (CRD #2702488, Ocean Ridge, Florida) was assessed a deferred fine of $50,000 and suspended by FINRA one year for allegedly making misleading and […]