Company Overview of Aegis Capital Corporation
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
New York, NY 10019
Founded in 1984
Key Executives for Aegis Capital Corporation
Chief Executive Officer and President
Managing Director of Investment Banking
Chief Administrative Officer
Head of Business Development
Compensation as of Fiscal Year 2015.
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
Aug 3 15
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
Dec 1 14
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.
Aegis Capital Corporation Presents at BioNJ 2014 International BioPartnering Conference, Apr-10-2014
Apr 2 14
Aegis Capital Corporation Presents at BioNJ 2014 International BioPartnering Conference, Apr-10-2014 . Venue: The Westin Princeton, Forrestal Village, New Jersey, United States. Speakers: Evan Myrianthopoulos, Managing Director, Life Science Investment Banking.
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