July 27, 2016 11:59 AM ET

Capital Markets

Company Overview of Aegis Capital Corporation

Company Overview

Aegis Capital Corporation operates as a boutique investment bank that offers financial advisory services. The firm provides private placements, initial and secondary public offerings, and corporate consulting services. Additionally, it offers securities trading and brokerage services. Aegis Capital Corporation was founded in 1984 and is based in New York, New York.

810 7th Avenue

18th Floor

New York, NY 10019

United States

Founded in 1984

Phone:

212-813-1010

Fax:

212-813-1047

Key Executives for Aegis Capital Corporation

Chief Executive Officer and President
Age: 63
Chief Operations Officer
Managing Director of Investment Banking
Chief Administrative Officer
Head of Business Development
Age: 46
Compensation as of Fiscal Year 2016.

Aegis Capital Corporation Key Developments

Financial Industry Regulatory Authority, Inc. Fines Aegis Capital Corp. $950,000 for Sales of Unregistered Penny Stocks and AML Violations

Financial Industry Regulatory Authority, Inc. announced that it has fined Aegis Capital Corp. $950,000 for improperly selling unregistered penny stocks and for related supervisory failures, and for failing to implement anti-money laundering (AML) policies and procedures. Aegis is also required to retain an independent consultant to review its supervisory and AML systems and procedures. In addition, Charles D. Smulevitz and Kevin C. McKenna, who served successively as Chief Compliance and AML Compliance Officers at the time of the violations, agreed to 30- and 60-day principal suspensions, and fines of $5,000 and $10,000, respectively, for their supervisory and AML failures.

Aegis Capital Corporation Presents at Haymarket Media Limited 6th Annual Southeast Asia Institutional Investment Forum, Dec-03-2014

Aegis Capital Corporation Presents at Haymarket Media Limited 6th Annual Southeast Asia Institutional Investment Forum, Dec-03-2014 . Venue: The Westin Singapore, 12 Marina View, Asia Square Tower 2, Singapore 01896110, Singapore.

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Recent Private Companies Transactions

Type
Date
Target
No transactions available in the past 12 months.
 

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