Between April 6 and April 18, 2024, Gonzalez made 39 cash deposits totaling $58,970 at four Wells Fargo A TMs. Gonzalez made these deposits in amounts below $10,000 to avoid federal reporting requirements that would have caused the financial institution to file Currency Transaction Reports (CTRs). As a result, Gonzalez violated FINRA Rule 2010. For that violation, Gonzalez is suspended from associating with any FINRA member in all capacities for twelve months and fined $5,000.

Between June 2017 and October 2021, Aegis did not establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to prevent general solicitations of private placements. Accordingly, Aegis violated FINRA Rules 3110 and 2010.