Tag Archives: Daniel James O’Neill

FINRA Charges Aegis Stockbroker With Excessive Trading

August 06, 2021  |   Posted by :   |   Boilerroom Sales, Churning, Excessive Trading, FINRA Securities Arbitration, Investment and Regulatory News   |   Comments Off on FINRA Charges Aegis Stockbroker With Excessive Trading

Daniel James O’Neill (also known as Dan O’Neill) of Melville New York a stockbroker formerly registered with Aegis Capital Corp. has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that O’Neill executed unsuitable trades and engaged in excessive trading at Aegis Capital Corp. Department of Enforcement v. Daniel […]

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