Regulatory Actions

AEGIS FINANCIAL LLC NFA ID: 0271161

This page includes information regarding the Case History of these matters concerning the person or firm you are researching. It may also include the Outcome if the cases have been resolved regarding this person or firm. Just like in all legal proceedings, when regulatory actions are resolved, it is almost always by settlement, not adjudication. A settlement may result in the imposition of a penalty without a determination of the merits of the charges or formal findings of wrongdoing. If the particular matter you are interested in has been resolved, please refer to the Narrative, and for certain NFA cases, the decision as provided in the Case Documents summary, to see whether it was adjudicated or settled.

Contributor Case # Action Type Effective Date Case Outcome NFA 99BCC00023 • FINANCIAL • GENERAL CONDUCT • FINANCIAL POSITION AND REPORTING 06/19/2000 • FINE $7500 • ENHANCED PROCEDURES REQUIRED NFA 02BCC00023 • REGISTRATION • FINANCIAL 01/06/2003 • MEMBERSHIP CONDITIONED NFA 02AWD00139 • NFA ARBITRATION SUSPENSION 02/23/2004 • SUSPENDED FROM MEMBERSHIP NFA 00BCC00030 • GENERAL CONDUCT • FINANCIAL 07/31/2001 • RESTRICTIONS ON ACTIVITIES • FINE $30000