Aeon Capital Inc.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/07/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069378801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aeon Capital Inc. (Respondent) Member Firm CRD No. 164004 Pursuant to FINRA Rule 9216, Respondent Aeon Capital Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2021069378801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/10/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052480101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aeon Capital Inc., Respondent Member Firm CRD No. 164004 Vincent Michael Bruno, Respondent General Securities Representative, General Securities Principal, Operations Professional, Compliance Officer Investment Banking Representative, Investment Banking Principal, Municipal Securities Representative, and Municipal Securities Principal CRD No. 1845833
Reference 2017052480101data-portal.finra.org finra.org

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