UPDATE 4/11/2020: According to FINRA’s February 2020 Disciplinary Actions: “Aeon Capital Inc. (CRD #164004, Middletown, New Jersey) and Vincent Michael Bruno (CRD #1845833, Middletown, New Jersey) December 10, 2019 – An AWC was issued in which the firm was censured, fined $45,000, of which $10,000 is joint and several with Bruno, required to retain one or more qualified independent consultants to conduct a comprehensive review of the adequacy of its compliance with FINRA Rule 3170 (the Taping Rule) and required to comply voluntarily with the Taping Rule for an additional 18 months. Bruno was fined $10,000, jointly and severally with the firm, and suspended from association with any FINRA member in any principal capacity for 30 business days. Without admitting or denying the findings, the firm and Bruno consented to the sanctions and to the entry of findings, that the firm failed to comply with the Taping Rule, failed to reasonably enforce its Taping Rule procedures, and later, that the firm and Bruno failed to enforce its revised Taping Rule WSPs. The findings stated that the firm’s WSPs were not reasonably designed to ensure compliance with the Taping Rule and, in any event, the firm failed to tape all conversations as required under the Taping Rule. When the firm revised its Taping Rule WSPs, Bruno became the designated principal responsible for implementing them; however, the firm and Bruno failed to enforce it. As a result, the firm failed to record all telephone conversations between its registered persons and its existing and potential customers. The suspension is in effect from January 6, 2020, through February 18, 2020. (FINRA Case #2017052480101)”
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Aeon Capital. If you suffered losses investing with Aeon Capital, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Aeon Capital (CRD# 164004) (SEC# 8-69080)
As of April 4, 2020, Aeon Capital’s FINRA BrokerCheck Report contains the following:
1 Regulatory Event Disclosures
Main Office Location
1715 HIGHWAY 35
SUITE 103
MIDDLETOWN,, NJ 07748
UNITED STATES
Mailing Address
1715 HIGHWAY 35
SUITE 103
MIDDLETOWN,, NJ 07748
UNITED STATES
Business Telephone Number
646-878-9578
Direct Owners and Executive Officers
AEON CAPITAL MARKETS, LLC, OWNER
BRANDT, STEPHEN KENNETH (CRD#:1367145), FINOP – PRINCIPAL FINANCIAL OFFICER
BRUNO, VINCENT MICHAEL (CRD#:1845833), CCO
MALLIOS, DEMETRIOS (CRD#:3169758), CEO
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Aeon Capital and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
