{"id":3067,"date":"2014-12-26T00:00:00","date_gmt":"2014-12-26T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-bars-aegis-capital-corp-broker-malcom-segal-from-securities-industry-over-allegations-of-outside-business-activities\/"},"modified":"2017-12-27T16:19:54","modified_gmt":"2017-12-27T21:19:54","slug":"finra-bars-aegis-capital-corp-broker-malcom-segal-from-securities-industry-over-allegations-of-outside-business-activities","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-aegis-capital-corp-broker-malcom-segal-from-securities-industry-over-allegations-of-outside-business-activities\/","title":{"rendered":"FINRA bars Aegis Capital Corp Broker Malcom Segal from Securities Industry Over Allegations of Outside Business Activities"},"content":{"rendered":"<\/p>\n

The Financial Industry Regulatory Authority (FINRA) recently barred former Aegis Capital Corp.<\/a>(Aegis) broker Malcom Segal (Segal) alleging that Segal may have engaged in unauthorized<\/a>\u00a0transfers of funds from customer accounts to an outside business activity (a\/k\/a \u201cselling away<\/a>\u201c).<\/p>\n

Segal was a broker for Aegis from 2011 until July 2014 when he was terminated by Aegis for failing to cooperate with an internal investigation into a customer complaint alleging he made unauthorized wire transfers from a customer\u2019s account.\u00a0 Segal operated from Boynton Beach, Florida and Langhorne, Pennsylvania.<\/p>\n

Aegis appears to be distancing itself from Mr. Segal by alleging he was not operating with Aegis\u2019 permission.\u00a0\u00a0 Frequently referred to as selling away, firms may still be liable for a broker\u2019s actions because it has a duty to properly monitor and supervise<\/a> its employees.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The Financial Industry Regulatory Authority (FINRA) recently barred former Aegis Capital Corp.(Aegis) broker Malcom Segal (Segal) alleging that Segal may have engaged in unauthorized\u00a0transfers of funds from customer accounts to an outside business activity (a\/k\/a \u201cselling away\u201c). Segal was a broker for Aegis from 2011 until July 2014 when he was terminated by Aegis for […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[593,584],"tags":[97],"class_list":["post-3067","post","type-post","status-publish","format-standard","hentry","category-ponzi-schemes","category-selling-away","tag-selling-away"],"yoast_head":"\nFINRA bars Aegis Capital Corp Broker Malcom Segal from Securities Industry Over Allegations of Outside Business Activities — Securities Arbitration Lawyers Blog — December 26, 2014<\/title>\n<meta name=\"description\" content=\"The Financial Industry Regulatory Authority (FINRA) recently barred former Aegis Capital Corp.(Aegis) broker Malcom Segal (Segal) alleging that Segal may — December 26, 2014\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, 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