Ft. Lauderdale, Fl. Aug 29, 2022 – Investor Alert: Following SEC fines of over $2 Million and FINRA fines of over $1 Million Against Aegis Capital Corp, investors in Variable Interest Rate products are encouraged to contact the Mark Tepper Law firm and/or Investment Loss Recovery to learn about your rights to claim loss recovery. Did your Aegis Capital broker recommend investments in non-traditional Exchange Traded Funds (ETFs) such as Direxion Daily Financial Bull 3X [FAS: NYSE Arca] and other leveraged Direxion Bull and Bear Funds without explaining the risks? If so, you have a right to file a FINRA Securities Claim for loss recovery.
Aegis Capital Corp, with offices in many states including Boca Raton, Florida and New York, was recently fined by the SEC and by FINRA for specific securities law violations, including excessive trading, unauthorized trades, unsuitable recommendations of Variable Interest Rate products and recommended investments in non-traditional Exchange Traded Funds (ETFs).
The Mark Tepper Law firm and Investment Loss Recovery are also investigating Aegis Capital Corp’s unsuitable recommendations of L Bonds issued by GWG Holdings, Inc. [NASDAQ: GWGH] now [OTCMKTS: GWGHQ]
“Time to file a claim is limited, so investors should act promptly,” said attorney Mark Tepper who is the former Chief Trial Counsel at the New York Attorney General’s Bureau of Investor Protection and Securities. “If you have or had an account with Aegis Capital Corp and suffered losses, you can contact us for a free case evaluation.”
For the no-cost case evaluation, email attorney Mark A. Tepper at askmark@marktepper.com, telephone him at 954-961-0096 or visit InvestmentLossRecovery.com to submit a confidential online inquiry.
About Mark A. Tepper, P.A. (MarkTepper.com)
Attorney Mark A. Tepper has earned the reputation of “Investor Advocate” while practicing law for over 40 years representing individual investors. FINRA arbitrators have upheld stockbroker fraud Claims filed by Mr. Tepper against many brokerage firms. A member of the Florida, New York and California Bars, Mr. Tepper is peer-reviewed for 21 consecutive years as AV PREEMINENT® for ethical standards and legal ability. It’s the highest rating of lawyers in the Martindale-Hubbell Law Directory.
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