Aegis Capital, abused by FINRA, FINRA NAC
AEGIS CAPITAL is the latest victim of regulatory abuses by FINRA, headed by a Rick Ketchum and Robert Colby, incompetent bureaucrats and the highest paid government employees in America.
AEGIS CAPITAL just got screwed over by FINRA again. The horror of government tyranny has returned — it’s outrageous and could ruin your neighborhood broker! Aegis Capital Corp. is a boutique Wall Street firm with a long history of client success. The American investment company has more than 400 stockbrokers and is entrusted with hundreds of millions of dollars in client assets. In the past 30 years, Aegis Capital has raised money for startups and funded American jobs. The firm has done well for its investors and for the brokers themselves. By 2014, Aegis Capital had some of the hardest working investment professionals on Wall Street. READ MORE: CHRIS BRUMMER, CREEPY GEORGETOWN LAW PROFESSOR, FINRA’S UNCLE TOM WANTS TO SHUT DOWN THE INTERNET, CHOKES FREE SPEECH.
“I hate those fast-talking, mafia-looking Italian Jews at Aegis Capital,” says FINRA staffer Jeffrey Bloom. “I’ve got to nail them.”
“FINRA will put the nails hard into the coffins of those rogue brokers at Aegis Capital,” sources said about comments made by FINRA staffer Michael A. Gross (contact: 561-443-8125, Michael.gross@finra.org), one of the examiners involved in this hideous overreach of FINRA’s regulatory authority. Sources have further responded that an obscure FINRA staffer John Luburic (contact: 312-899-4369, john.luburic@finra.org), another FINRA staffer, agreed with the Michael Gross’s racially motivated comments. Read more: FINRA SUPPORTS FINRA NAC MEMBERS, SPONSORS RACISM, CHRIS BRUMMER FRAUD
Read more: FINRA MEMBERSHIP, DOG ON A LEASH, FINRA NAC EXPOSED
READ MORE: FINRA CEO Rick Ketchum Endorses Racism, FINRA Staffer Jeffrey Bloom Caught Pants Down
FINRA discriminates against the Jews, antisemitism blinds the FINRA dogs
“FINRA staffer Michael Gross’s racist comments against the Jewish people are appalling. His last name fits that sick feeling perfectly, like the rotted cheese laying on top of used toilet tissue in a bathroom,” said a Barclays Bank money manager unaffiliated with Aegis Capital. “It’s very hard to do business in such times, with these jealous and poorly paid FINRA regulatory morons lurking around like some bitches shitting in the wrong yard all day.” READ MORE: DOES FINRA CEO RICK KETCHUM FACE RACISM CHARGES IN CONGRESS BEFORE DISGRACED RETIREMENT?
READ MORE: Facebook Fraudster Ronen Zakai, Convicted Criminal, Dupes Shadow-Government Agency FINRA
FINRA, ROBERT COLBY, THE IMPOTENT SLEEPY DOG BARKING AT THE DOOR – NAILS IN THE COFFIN
Tragically, Aegis Capital must now fend off a cloud of horrid and noxious gas expelled from the governments favorite shadow agency, FINRA. Aegis Capital is regulated by the Financial Industry Regulatory Authority (FINRA), a “watch dog” for America’s securities industry. An army of 8,000 men strong, FINRA is a house of impotent mad dogs whose power is derived solely from the fact that it is given wide discretion to hurt its members with a kind of sadomasochistic satisfaction found only in noire horror films. By and large, it answers to no one but itself. READ MORE: FINRA CEO Richard Ketchum’s Indefensible Tango Before Congress
FINRA CEO RICK KETCHUM:” I DESERVE TO BE PAID MORE THAN BARACK OBAMA… BECAUSE I AM SMARTER”
Masked as a bullshit “non-profit,” FINRA CEO Rick Ketchum makes $300,000 per month, a huge pile of cash that dwarfs President Obama’s annual pay of $400,000. Is Rick Ketchum smarter and more competent than Barack Obama? Ketchum thinks so. Most people believe the FINRA bureaucrat is full of it.
When the average American family makes less than $50,000 per year, readers must wonder if Rick Ketchum Ketchum is some “wunderkind,” the Mozart of government extravagance, truly deserving of his compensation. The answer, however, is again, “bullshit!” Ketchum is no Facebook CEO Mark Zuckerberg, and FINRA is an abusive bureaucracy overflowing with incompetency, vomiting baseless allegations daily, while sipping the blood-tinctured whiskey of its own bureaucratically induced mayhem. Read More: CHRIS BRUMMER, GEORGETOWN LAW SCHOOL PROFESSOR IMPLICATED IN MULTIPLE FRAUD, FINRA RUBBER STAMP, ABUSER CAUGHT
Over the years, and under the lazily roaming and distracted eyes of Rick Ketchum, FINRA has missed the massive Bernie Madoff Ponzi scheme, overlooked the new Bernie Madoff – convicted criminal Ronen Zakai, and is allowing “FINRA examiners” to run wild like bunch of enraged berserkers laying siege to honest Wall Street professionals and singling out the smaller, more vulnerable, businesses for harassment. Alan Lawhead, FINRA lawyer in charge of “Appellate Group” who acted on behalf of FINRA and destroyed the lives of two innocent black brokers, was apparently duped by the criminal Ronzen Zakai and his lover, the 350 lb “Big Red” Maureen Gearty. READ MORE: FINRA BARRED TWO BROKERS BASED ON BS, RACISM, TRASHES THE AMERICAN CONSTITUTION.
Aegis Capital is one of those successful firms now being harassed, but it is fighting back! It takes determination, but readers fully expect Aegis to defeat the FINRA tyranny now before them. READ MORE: FINRA Staff Jeffrey Bloom Duped by the New Bernie Madoff – Convicted Criminals Ronen Zakai, Maureen Gearty
FINRA’S “HOUSE OF CARDS” – FINRA MEMBERSHIP IS A TICKET TO HELL
Americans have many cherished rights under the Constitution. As a member of FINRA, however, America’s investment professionals have their rights more suppressed than political prisoners in Russia. For example, based upon mere hunches and shadowy (and likely malicious) “whistleblowers,” FINRA has the power to force its members to provide evidence which would be protected by the Fifth Amendment of our Constitution, on pain of losing their broker-dealer license and livelihood. FINRA can force members to undergo FINRA NAC kangaroo courts with FINRA employees acting as the judge and jury.
“These fake FINRA arbitration panels and FINRA NAC judges rule against FINRA members 100 percent of the time. Say rigged?”
Under FINRA rules, a FINRA enforcement agent can make outrageous and insulting inquiries about a broker’s family history, deprecating a member’s business and standing in the investment community on little more than some vague hunches. Like ruthless barbarians, FINRA staff extracts mountains of information and pounds of documents, the very pulpy flesh of their corporate and individual victims. This is all done with the sharp unconstitutional tools of the administrative process and the constant threat of enforcement actions. The incomparable lack of procedural protections for FINRA members is humiliating, and your local broker may be next on the torture table. Read more: INVESTIGATIONS: HOW NASDAQ’S WILLIAM SLATTERY, FINRA’S ROBERT COLBY LIED TO THE FBI, DUPED THE GOVERNMENT.
Because FINRA decisions are nearly impossible to challenge, gruesome coercive tactics by its enforcement agents are common, as is potent racial discrimination on the part of its staff. A disgraced FINRA agent, Jeffrey Bloom, was recently caught by the press for exhibiting racism and was prominently featured in a series of investigative articles as a regulatory abuser and racist. READ MORE: Naked Short Sellers Run Wild on Wall Street.
FINRA GETS HIGH AS A KITE ON UNFOUNDED ASSERTIONS
FINRA alleges that between April of 2009 and June 2011, Aegis Capital Corp. liquidated 3.9 billion shares of five “mysterious” microcap stocks and that Aegis Capital made roughly $1.1 million, or less than 3 percent of a penny per share in commissions from the sales. We wish our stockbroker charged so little!
But where are the facts, and who are the victims? The complaint makes a whole series of allegations but does not support argument that Aegis, or its employees, ever intentionally did anything wrong. Instead, FINRA argues that the staff at Aegis failed to further investigate “red flags indicative of potentially suspicious transactions” Yikes! So the compliance team is being hit with an enforcement action and having their lives destroyed simply because the almighty FINRA staff has some bad dreams in some wonderland? This rubber band of FINRA misbehavior against Aegis Capital can only stretch so far. Is the rubber band overextended or just made of bullshit?
These kinds of allegations against Aegis Capital were mirrored in the abuses of captured FINRA racist Jeffrey Bloom, who utterly failed to identify the most recent Bernie Madoff of our times, and instead pursued innocent brokers.
READ MORE: FINRA staff Jeffrey Bloom reveals racism, fraud, corruption
AMY LYNCH, FRONTLINE COMPLIANCE – REGULATORY “LADY GAGA” OR A FINRA LACKEY?
On Wall Street, FINRA has no friends or allies. Like a skeevy old man who hangs out in a strip club with a polyester jacket salivating over boobs and booze, FINRA deserve s to be alone.
Three hundred miles away from New York and in the middle of bumble town in backwoods Maryland, FINRA has a fan, a woman named Amy Lynch. Amy Lynch is a middle-aged woman, founder of an obscure FrontLine Compliance, LLC and a self-proclaimed “compliance specialist” who makes a living off the miseries and deprecation of investment professionals abused by FINRA.
When asked about the FINRA enforcement actions against Aegis Capital in an interview by an equally obscure and palpably ill-informed “Investment News,” Amy Lynch said Aegis Capital “did the bare minimum” in terms of its anti-money-laundering compliance. EXCUSE YOU AMY LYNCH, THE FINRA LACKEY!”
Well, excuse you, Ms. Wicked Bitch of the West, Amy Lynch. Isn’t the “bare minimum” the line between following the rule and not? You either are in compliance with the text, or you are not. You land on the moon, or you do not. You broke the law, or you did not — there is no middle ground here. And who is to say, given the wholly expansive, unfair and altogether unjust text of the FINRA rules, that any mistakes by the company were not to be expected and were the result of an overly complex regulatory scheme?
More alarmingly, according to the article, Amy Lynch said Aegis’s then-chief compliance officer, Charles Smulevitz, was “a younger person who had just gotten out of college at the time, so they could have been taking advantage of someone’s inexperience.”
Read more: ANGRY GRANDMAS IN ARMS PROTEST ABSURD SEC CLAIM: GIFTING STOCKS AWAY ILLEGAL IN AMERICA?
Excuse you again, Amy Lynch, bitch! What does someone’s age or sexual preference have anything to do with his willingness to comply with the law, as Charles Smulevitz did just that!
A desperate middle-aged woman who still aspires to be the next Lady Gaga, Amy Lynch is short both on the talent and the heels.
Amy Lynch is THE classic example of what is wrong with @FINRA: The rule of law doesn’t matter — it’s the perception GAME by some FINRA staffers jealous of the pocket books of successful investment brokers!
AMY LYNCH certainly knows how to off-handedly destroy a firm’s reputation. She knows how to do it, and she arbitrarily eviscerated the poor Mr. Smulevitz. Discrimination against someone’s youth is disgusting. In fact, young people in the financial industry tend to have a wealth of knowledge and work extremely hard and become experienced at a very young age.
FINRA Membership, A Ticket to Hell
FINRA operates as a shadowy, financial blackwater-esque wing of the federal government. With all the protections and nearly all the powers of a government or court, it hands down justice with a truly vicious streak. Alarmingly, it has woefully little protections for its members and several degrees of separation from the president’s oversight. It bullies members like an ogre in a small village.
And by the way, membership is mandatory if you want to sell or buy stock for anyone but yourself, i.e. in any way that allows one to meaningfully participate in growing our countries capital markets.
Although Aegis Capital Corp. is the most recent target of FINRA’s bullying, FINRA is happy to pick on the little guy and “low hanging fruits.” Let’s not forget FINRA missed massive scandals like Bernie Madoff and others. As long as this type of behavior at FINRA and other regulatory agencies persists, American investors will lead a life closer to that of a prisoner of the Russian secret police, being forced to “pick up the soap” in the Gulag shower than as citizens who have rights and have done no wrong. Read more: RODDY BOYD EXPOSED – FRAUD ‘JOURNALIST’ TRASHES COMPANIES, BRIBED BY JON CARNES CRIME FAMILY
Aegis Capital is a small firm, and it stood up against FINRA tyranny. Its actions are courageous and should be commended. Go fight them, boys. The last words for the FINRA folks? Shameless, do-nothing losers who are crooked jerky jockies and drive a crooked horse. Give them a phone on Wall Street, they wouldn’t last half a day… READ MORE: AgFeed Fraud Story Fabricated by Bloomberg Reporter
