Broker-Dealer Profiles

Aegis Capital Corporation (CRD# 15007) (SEC# 8-31616, 801-71386)

Aegis Capital Corp. located at 810 7th Avenue in New York, NY has been registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) since 1984. Aegis is licensed to operate in 53 U.S. states and territories. Currently, Aegis Capital has 18 regulatory events and 1 arbitration on its FINRA BrokerCheck report. Most recently, Aegis was censured and fined $39,500 and ordered to revise its written supervisory procedures (WSPS) to ensure compliance with NASDAQ rules.

National Securities Corporation (CRD# 7569) (SEC# 8-164)

National Securities Corporation is a licensed brokerage firm based in Seattle, WA. The firm registered with the Financial Industry Regulatory Authority (FINRA) in 1947, and is licensed to operate in 53 U.S. states and territories.

National Securities has a history of regulatory and customer complaints, and currently has 59 regulatory events, 12 arbitrations and 2 civil disclosure events on its FINRA BrokerCheck report. Of note, in December 2014, FINRA censured and fined National Securities $35,000 for reclassifying customer complaints as sales practice violations and for filing late reports about customer complaints and settlements. The findings stated that National Securities failed to enforce its written supervisory procedures (WSPS) regarding required reporting.

J.D. Nicholas & Associates, Inc. (CRD #44791) (SEC #8-50822)

J.D. Nicholas & Associates, Inc. (JDNAA) is a broker-dealer located in Syosset, NY. JDNAA was formed in Florida and registered with the Federal Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC) in 1998. JDNAA is licensed to operate in 52 U.S. states and territories. J.D. Nicholas, formerly known as A&F Financial, has 6 regulatory events on its FINRA BrokerCheck report, the most recent occurring in March, 2015. J.D.

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