AEGIS CAPITAL CORP. of NEW YORK, NY is an SEC-registered investment adviser (CRD 15007). Regulatory assets under management: $1.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 27 people.
| Name | Role | Location |
|---|---|---|
| Robert Jay Eide | CEO, SECRETARY, CLO, DIRECTOR; SHAREHOLDER | — |
| Thomas Champney Poss | CHIEF FINANCIAL OFFICER, CO-FINOP | — |
| George Gregory Kott | CHIEF OPERATING OFFICER | — |
| John Stevenson Miller | CO-FINOP | — |
| Francis J Mckenna | MUNICIPAL PRINCIPAL | — |
| Robert Steven Feinman | CHIEF COMPLIANCE OFFICER | — |
| Kevin C Meade | CHIEF COMPLIANCE OFFICER | — |
| GOLDWASSER MARK HARRY | PRESIDENT | — |
| NACCARELLI ANTONY CARMINE | AMLCO; CHIEF COMPLIANCE OFFICER (INTERIM) | — |
| TERRACCIANO EUGENE WILLIAM | CHIEF COMPLIANCE OFFICER; SENIOR VP, CHIEF COMPLIANCE OFFICER | — |
| EIDE ROBERT JAY | CEO, SECRETARY, CLO, DIRECTOR; SHAREHOLDER | — |
| SMULEVITZ CHARLES DAVID | CHIEF COMPLIANCE OFFICER, ROSFP; ROSFP | — |
| POSS THOMAS CHAMPNEY | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER, CO-FINOP | — |
| KOTT GEORGE GREGORY | CHIEF OPERATING OFFICER | — |
| MCKENNA KEVIN CHARLES | CHIEF COMPLIANCE OFFICER; MUNICIPAL PRINCIPAL | — |
| ERICSON NILS ALEXANDER | CHIEF COMPLIANCE OFFICER, AMLCCO, ROP | — |
| TREBLE TIMOTHY | CHIEF COMPLIANCE OFFICER | — |
| GUIDETTI SAMUEL ANTHONY III | CHIEF COMPLIANCE OFFICER | — |
| HEILPERN GERALD MARTIN | MUNICIPAL PRINCIPAL | — |
| MONACO ANTHONY MICHAEL SR | CHIEF COMPLIANCE OFFICER; MUNICIPAL PRINCIPAL; REGISTERED OPTIONS PRINCIPAL | — |
| HENTSCHEL DAVID STANLEY | CHIEF COMPLIANCE OFFICER | — |
| DOUBERLY TERESA WATKINS | REGISTERED OPTIONS PRINCIPAL | — |
| NEWMAN ERIC | CHIEF SUPERVISORY OFFICER | — |
| GUGLIELMO ANTHONY | MUNICIPAL PRINCIPAL | — |
| MEADE KEVIN C | CHIEF COMPLIANCE OFFICER | — |
Showing 10 of 29 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-26 | regulatory | THE COMMISSIONER OF SECURITIES AND INSURANCE, OFFICE OF THE MONTANA STATE AUDITOR (CSI) ALLEGES THAT RESPONDENT VIOLATED MONT. CODE ANN. ? 30-10-201(13)(K) BY FAILING TO HAVE ADEQUATE WRITTEN SUPERVISORY POLICIES/PROCEDURES IN EFFECT TO MONITOR CERTAIN OF ITS REGISTERED REPRESENTATIVES DURING THE SU… | Final | $25K |
| 2024-08-26 | regulatory | THE COMMISSIONER OF SECURITIES AND INSURANCE, OFFICE OF THE MONTANA STATE AUDITOR (CSI) ALLEGES THAT RESPONDENT VIOLATED MONT. CODE ANN. § 30-10-201(13)(K) BY FAILING TO HAVE ADEQUATE WRITTEN SUPERVISORY POLICIES/PROCEDURES IN EFFECT TO MONITOR CERTAIN OF ITS REGISTERED REPRESENTATIVES DURING THE SU… | Final | $25K |
| 2024-01-31 | regulatory | BETWEEN OCTOBER 1, 2021 AND SEPTEMBER 1, 2022, AEGIS CAPITAL CORP. ALLEGEDLY FAILED TO SUBMIT THREE PERIODIC REPORTS RELATED TO A PLAN OF HEIGHTENED SUPERVISION FOR A BROKER-DEALER AGENT IN VIOLATION OF SECTION 409.4-411(C)(1)RSMO AND 15 CSR 30-51.120. | Final | $8K |
| 2022-07-28 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION (THE "COMMISSION" OR "SEC") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 ("SECURITIES ACT") AND SECTIONS 15(B) AND… | Final | $2.3M |
| 2021-11-08 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE SUITABILITY REQUIREMENTS OF FINRA RULE 2111 AS IT PE… | Final | $1.1M |
| 2021-03-10 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST MARKET FOR A SUBJECT SECURITY AND BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO THE CUSTOMER WAS AS FAVORABLE AS PO… | Final | $80K |
| 2021-01-14 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST MARKET FOR A SUBJECT SECURITY AND BUY OR SELL IN SUCH MARKET THAT THE RESULTANT PRICE TO THE CUSTOMER WAS AS FAVORABLE AS… | Pending | — |
| 2019-07-10 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE RESTRICTED PERIOD OF THE DISTRIBUTION OF SECURITIES OF A COMPANY'S OFFERING, WHILE THE FIRM ACTED AS A DISTRIBUTION PARTICIPANT FOR THE OFFERING, THE FIRM PURCHASED SHARES OF C… | Final | $42K |
| 2018-12-14 | regulatory | WITHOUT ADMITTING OR DENYINIG THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES AND TRANSACTIONS IN TRACE-ELIGIBLE SECURITIZED PRODUCTS… | Final | $64K |
| 2018-03-28 | regulatory | SEC ADMIN RELEASE 34-82956 / MARCH 28, 2018: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"… | Final | $750K |