{"id":10297,"date":"2021-11-30T17:05:41","date_gmt":"2021-11-30T22:05:41","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10297"},"modified":"2021-11-30T17:05:41","modified_gmt":"2021-11-30T22:05:41","slug":"did-aegis-capital-corp-churn-your-account","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/did-aegis-capital-corp-churn-your-account\/","title":{"rendered":"Did Aegis Capital Corp. Churn Your Account?"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10205 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg\" alt=\"Aegis Capital Corp. recently submitted a Letter of Acceptance, Waiver, and Consent (AWC) to settle claims with the Financial Industry Regulatory Authority (FINRA) over alleged rule violations regarding churning customer accounts.  Aegis is a brokerage and investment adviser firm based in New York City that has been a FINRA member since 1984. The firm operates 23 branch offices with over 350 registered representatives.  Trading To Generate Commissions  Churning, or excessive trading, is when a broker trades in a customer\u2019s account just to generate commissions. It is a violation of FINRA\u2019s rules and securities laws, and one of the leading reasons that customers file arbitration claims.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Aegis Capital Corp. recently submitted a Letter of Acceptance, Waiver, and Consent (AWC) to settle claims with the Financial Industry Regulatory Authority (FINRA) over alleged rule violations regarding churning customer accounts. <a href=\"https:\/\/www.silverlaw.com\/blog\/did-aegis-capital-corp-churn-your-account\/#more-10297\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Aegis Capital Corp. recently submitted a Letter of Acceptance, Waiver, and Consent (AWC) to settle claims with the Financial Industry Regulatory Authority (FINRA) over alleged rule violations regarding churning customer accounts. Continue reading \u203a<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[589],"tags":[],"class_list":["post-10297","post","type-post","status-publish","format-standard","hentry","category-churning-2"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Did Aegis Capital Corp. 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