Securities Lawyers Blog
Investors researching Aegis Investments, Inc. often want to know about the firm’s regulatory history before deciding whether to speak with a lawyer. This page summarizes the FINRA disciplinary actions in which Aegis Investments, Inc. was named. The securities fraud attorneys at Gana Weinstein LLP represent investors in claims against brokerage firms and financial advisors for investment fraud, unsuitable investment recommendations, excessive trading, and failure to supervise, and we can review the firm’s record together with your account statements to determine whether you have a claim.
Aegis Investments is a broker-dealer and investment advisory firm that offers non-discretionary brokerage services in stocks, exchange-traded funds, mutual funds, and cash alternatives to individuals, families, trusts, and estates. Founded in Minnesota in 1984, the firm is based in St Louis Park in the Minneapolis area.
Aegis Investments, Inc. – By the Numbers:
- CRD #: 16033
- Regulatory Events: 1
- Arbitration Events: 1
- Broker Employees: 6
Aegis Investments, Inc. – In the News:
FINRA v. Aegis Investments, Inc. (Case #2021069363301) – Aegis Investments failed to conduct annual independent testing of the firm’s anti-money laundering (AML) compliance program between 2011 and 2020, in violation of FINRA Rules 3310(c) and 2010.
Elder financial abuse and exploitation of elderly investors are among the claims our firm pursues most vigorously. If you or a family member suffered investment losses because of a financial advisor at Aegis Investments, Inc., the attorneys at Gana Weinstein LLP are available for a free consultation.