Nex Systems
Type not stated

Aegis Investments Inc.

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/11/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069363301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aegis Investments, Inc. (Respondent) Member Firm CRD No. 16033 Pursuant to FINRA Rule 9216, Respondent Aegis Investments, Inc. (Aegis Investments) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

    Reference 2021069363301data-portal.finra.orgfinra.org

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