Edmund Zack Aegis Capital Broker Fined and Suspended Read More »
source https://financialadvisorcomplaints.com/edmund-zack-aegis-capital-broker-fined-and-suspended/
Thursday, 1 April 2021
Edmund Zack Aegis Capital Broker Fined and Suspended
A Letter of Acceptance, Waiver, and Consent (“AWC”) has been agreed between the Financial Industry Regulatory Authority (FINRA) and Edmund Zack, formerly a broker with Aegis Capital Corporation, on March 19, 2021. The AWC covers the following findings of FINRA: Excessive and Unsuitable Trading and Unsuitable Stock Recommendations It was recommended to a customer who …
source https://financialadvisorcomplaints.com/edmund-zack-aegis-capital-broker-fined-and-suspended/
source https://financialadvisorcomplaints.com/edmund-zack-aegis-capital-broker-fined-and-suspended/
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