Aegis Capital

Aegis Capital Corp Fined $2.8M For Excessive Trading and Unsuitability

Established in 1984, Aegis Capital Corporation is a comprehensive retail and institutional broker-dealer headquartered in New York. They provide a broad spectrum of investment products and services as brokers and advisors. The firm recently faced sanctions from the Financial Industry Regulatory Authority (FINRA), triggered both by a client’s complaint of churning and a subsequent internal […]

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Sierra Income Lawsuit

Sierra Income Corporation Losses Continue For Investors (Medley Capital)

Our law firm is getting calls from people that invested in Sierra Income Corporation, a non-traded business development company (BDC). In 2019 there was a merger with Medley Capital, income, but for original investors who paid at or near $10.00/share for Sierra Income, there are currently significant investment losses to consider. Unfortunately, Sierra Income Corp

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Wall street fine

Unpreserved Electronic Communication of Employees Leads to $1.8B Collectively in Fines for Several Firms

A number of firms including UBS, Morgan Stanley, and Bank of America, have been asked by regulators to pay approximately $1.8 billion in the form of penalties for their failures with regard to the preservation of electronic communications of employees. The subject is one that regulators have been concerned about for several years. The levy

Unpreserved Electronic Communication of Employees Leads to $1.8B Collectively in Fines for Several Firms Read More »

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