{"id":5903,"date":"2018-05-03T17:08:24","date_gmt":"2018-05-03T21:08:24","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=5903"},"modified":"2018-05-03T17:08:24","modified_gmt":"2018-05-03T21:08:24","slug":"reporting-failures-cost-aegis-financial-1-3m-in-fines","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/reporting-failures-cost-aegis-financial-1-3m-in-fines\/","title":{"rendered":"Reporting Failures Cost Aegis Financial $1.3M In Fines"},"content":{"rendered":"<p>FINRA and the SEC has fined Aegis Capital $1.3 million stemming from multiple reporting violations, including failing to report suspicious trades to the SEC. The regulators also allege that Aegis CEO and owner Robert Eide was responsible for causing the violations when he failed to respond to reports of suspicious activity. He was fined separately.<\/p>\n<p>Aegis was fined for four separate violations:<\/p>\n<ul>\n<li>Robert Eide, failure to file, $40,000<\/li>\n<\/ul>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/reporting-failures-cost-aegis-financial-1-3m-in-fines\/\"  title=\"Continue Reading Reporting Failures Cost Aegis Financial $1.3M In Fines\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>FINRA and the SEC has fined Aegis Capital $1.3 million stemming from multiple reporting violations, including failing to report suspicious trades to the SEC. The regulators also allege that Aegis CEO and owner Robert Eide was responsible for causing the violations when he failed to respond to reports of suspicious activity. He was fined separately. [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[595,583],"tags":[791,790,794,793,792,290],"class_list":["post-5903","post","type-post","status-publish","format-standard","hentry","category-investment-fraud","category-sec-actions","tag-aegis-capital","tag-aegis-financial","tag-eugene-terracciano","tag-kevin-mckenna","tag-robert-eide","tag-securities-arbitration"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Reporting Failures Cost Aegis Financial $1.3M In Fines &#8212; Securities Arbitration Lawyers Blog &#8212; May 3, 2018<\/title>\n<meta name=\"description\" content=\"FINRA and the SEC has fined Aegis Capital $1.3 million stemming from multiple reporting violations, including failing to report suspicious trades to the &#8212; May 3, 2018\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/reporting-failures-cost-aegis-financial-1-3m-in-fines\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Reporting Failures Cost Aegis Financial $1.3M In Fines &#8212; 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Securities Arbitration Lawyers Blog &#8212; May 3, 2018","twitter_description":"FINRA and the SEC has fined Aegis Capital $1.3 million stemming from multiple reporting violations, including failing to report suspicious trades to the &#8212; May 3, 2018","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/reporting-failures-cost-aegis-financial-1-3m-in-fines\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/reporting-failures-cost-aegis-financial-1-3m-in-fines\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"Reporting Failures Cost Aegis Financial $1.3M In Fines","datePublished":"2018-05-03T21:08:24+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/reporting-failures-cost-aegis-financial-1-3m-in-fines\/"},"wordCount":473,"keywords":["Aegis Capital","Aegis Financial","Eugene Terracciano","Kevin McKenna","Robert Eide","Securities Arbitration"],"articleSection":["Investment Fraud","SEC Actions"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/reporting-failures-cost-aegis-financial-1-3m-in-fines\/","url":"https:\/\/www.silverlaw.com\/blog\/reporting-failures-cost-aegis-financial-1-3m-in-fines\/","name":"Reporting Failures Cost Aegis Financial $1.3M In Fines &#8212; 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