Tag Archives: Maria Fan

Aegis Capital Corp Stockbroker Suspended For Lying

November 18, 2016  |   Posted by :   |   FINRA Securities Arbitration   |   0 Comments

Maria Fan, of New York, New York, a stockbroker formerly registered with Aegis Capital Corp., was fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that she made unwarranted and misleading statements concerning investments to a customer. Letter of Acceptance, Waiver and […]

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