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Tag: SEC Sanctions

SEC Sanctions Aegis Capital $2.3 million and Paul Gallivan $25,000 in Civil Penalties for Industry Violations Related to Structured Products

August 01, 2022

SEC Sanctioned Aegis in Cease and Desist Order On July 28, 2022, Aegis agreed to SEC sanctions in a  cease-and-desist order issued as a result...

SEC Charges Broker-Dealers and Investment Advisory Firms for the Sales of Complex Exchange-Traded Products With More than $3 Million Returned to Retail Investors

November 13, 2020

The securities industry watchdog, the Securities and Exchange Commission (“SC”) filed settled actions against three investment advisory firms and two dually-registered broker-dealer and advisory firms...

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