INVESTOR ALERT: FINRA Bars JAMES SCHWARTZ For Excessive Trading The Financial Industry Regulatory Authority (“FINRA”) announced it barred Aegis Capital Corp securities representative James Bradley Schwartz (CRD#: 3043085, New York City, New York) for making fraudulent trades and churning Aegis Capital Corp customers’ accounts. A settlement was reached April 16, 2019 in Case #2016051704302, following […]