Tag Archives: Douglas Edward Szempruch

FINRA Sanctions Another Aegis Stockbroker For Churning

July 31, 2021  |   Posted by :   |   Churning, Excessive Trading, Investment and Regulatory News   |   Comments Off on FINRA Sanctions Another Aegis Stockbroker For Churning

Douglas Edward Szempruch of Melville New York a stockbroker formerly registered with Aegis Capital Corp has been suspended for twelve months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he excessively traded in customer accounts at Aegis Capital Corp and made misleading statements to customers relating […]

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