Below is the official FINRA Letter of Acceptance, Waiver, and Consent (AWC), which can be reviewed in full:www.finra.org/sites/default/files/fda_documents/2021073044801%20Aegis%20Capital%20Corp.%20CRD%2015007%20AWC%20ks.pdf The FINRA action outlines a pattern of regulatory and supervisory failures at the firm, including: As explained in the AWC, Regulation M is intended to prevent market manipulation during securities offerings by restricting certain trading activity and [...]

Olof Olsson, a former registered broker previously affiliated with Aegis Capital Corp., has been indicted on charges alleging he misappropriated more than $3.8 million from the Swedish Church of New York (New York Attorney General Press Release). A newly unsealed criminal indictment filed by the New York Attorney General has brought renewed attention to the [...]

A recent enforcement action by the U.S. Securities and Exchange Commission highlights ongoing risks in private market investments, particularly when advisers promote complex venture strategies as stable, low-risk opportunities. According to the SEC, Florida-based investment adviser Riadh Fakhoury and his affiliated firm allegedly misled investors in connection with multiple venture capital funds. The SEC found [...]

The collapse of GWG Holdings remains one of the most significant alternative investment failures of the decade. While the initial Chapter 11 filing occurred in 2022, the fallout continues in 2026 as investors navigate complex bankruptcy distributions and pursue independent legal claims against the firms that sold these products (https://restructuring.ra.kroll.com/gwg/). Understanding the Product: Why L [...]