Tag Archives: David L. Sheppard

Another Aegis Capital Corporation Stockbroker Expelled

April 20, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

David L. Sheppard, of New York, New York, a stockbroker formerly registered with Aegis Capital Corp., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations of his sales practice violations. Letter of Acceptance, Waiver and […]

Read More »