Nex Systems
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CHARLES D. SMULEVITZ

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

    08/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Aegis Capital Corp. (CRD No. 15007), Charles D. Smulevitz (CRD No. 5099387), and Kevin C. McKenna (CRD No. 1343870), Respondents. Disciplinary Proceeding No. 2011026386001 Hearing Officer Rochelle S. Hall ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 3, 2015 INTRODUCTION Disciplinary Proceeding No. 2011026386001 was filed on August 12, 2014, by the Department of Enforcement

    08/12/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AEGIS CAPITAL CORP. (CRD No. 15007), CHARLES D. SMULEVITZ (CRD No. 5099387), and KEVIN C. McKENNA (CRD No. 1343870), Respondents. DISCIPLINARY PROCEEDING No. 2011026386001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between April 2009 and June 2011 (the "relevant period"), Aegis Capital Corp. liquidated nearly 3.9 billion shares of five microcap stocks that seven customers

    Reference 2011026386001data-portal.finra.orgdata-portal.finra.orgfinra.org

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