Board Leadership Program Offers Solutions for Industry Hurdles

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Board Leadership Program

Aegis Capital Corp operates with a focus on enhancing client goals through unencumbered advice and a comprehensive range of retail and institutional broker-dealer services. Aegis Capital Corp also belongs to the New York Stock Exchange (NYSE), which provides a variety of market sources and governance services, such as the Board Leadership Program.

An annual membership program, the Board Leadership Program presents directors and executives with a flexible and proactive continuing education solution for overcoming industry-related hurdles. It equips members with the tools and resources to handle challenges related to corporate governance and confronting public companies. Resources include access to conference videos and presentations, webinars and series, white papers and research reports, and board training courses. Furthermore, members receive discounted registration rates for conferences and peer exchanges and a one-year subscription to Corporate Board Member Magazine.

The Board Leadership Program offers two types of memberships: Full Board and Individual. Full board memberships cost $1,495 per director and include proactive disclosure to shareholders and inclusive access to NYSE Governance Services Conferences and peer exchanges. Individual memberships cost $995 per year and are open to C-suite executives of publically traded companies.


Five Tips for Protection Against Investment Fraud

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Securities Investor Protection Corporation

New York-based Aegis Capital Corp. provides a wide assortment of financial and investment services for investment banking, venture capital and private placement, debt marketing, and advisory. In addition, Aegis Capital Corp. also maintains membership with the Securities Investor Protection Corporation (SIPC), which helps investors understand and protect themselves against fraud. The following list includes a few tips for avoiding fraud.

1. Check statements for accuracy – Review all documents, statements, and confirmation reports with a critical eye and check to ensure it properly reflects your account activity. Remember to review documents as soon as they arrive and immediately report any errors you find.

2. Keep copies of writings and documents – Make copies of any correspondence you send to your brokerage firm and keep them in a secure place.

3. Beware of investment scams – Learn to recognize five classic types of investment scams – Ponzi schemes, Pyramid schemes, pump-and-dump, offshore scams and advance fee fraud –and their respective warning signs and red flags. Additionally, familiarize yourself with the kind of tactics used by investment scams.

4. Beware online opportunities – The digital age has created a new platform for investment fraud: the internet. Take caution when investing in an online opportunity that requires your personal information. Common places for internet fraud include online bulletin boards, investment newsletters, and spam mail.

5. Become familiar with your State Securities Regulator – Consider getting to know your State Securities Regulator, who can verify the licensure of broker-dealers and provide crucial information about their history. They can also offer education resources and access to protection materials.

Aegis Capital Corp Hosts Annual Growth Conference

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Aegis Capital Corp

A boutique investment bank in New York, New York, Aegis Capital Corp. provides retail and institutional broker-dealer services with a focus on enhancing client goals. Aegis Capital Corp. also hosts its own annual growth conference that features topics regarding healthcare and technology.

The three-day conference draws in approximately 100 presenting companies and over 500 investors from throughout the country. Participants and attendees engage in a variety of one-on-one meetings and networking events, including presentations from participating investors and companies in the healthcare and technology industries. Past conferences have also incorporated topics from other industries, such as telecom and aerospace defense. In addition, the conference will offer sponsored meals that include breakfast, lunch, and a reception dinner on the second day of the conference. Other events include a welcome reception, poolside cocktail, and a closing breakfast on the final day of the conference. Conference sponsors and special guests will attend the poolside cocktail and reception dinner, respectively.

For more information on upcoming conferences, visit

BrokerCheck System Offers Information about Brokers

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BrokerCheck System

A full service retail and institutional broker-dealer in New York, New York, Aegis Capital Corp. operates with a focus on enhancing client goals through unencumbered advice and a conflict-free platform. Aegis Capital Corp. maintains membership with several financial and investment organizations such as the Financial Industry Regulatory Authority (FINRA), which offers broker reviews through the digital BrokerCheck system.

BrokerCheck provides users with a complete review of a broker’s professional history, including employment backgrounds, licenses, and certifications. It also provides information about a broker’s regulatory actions and any violations. Designed to help investors make informed decisions regarding potential brokers and their firms, the free tool utilizes data collected through FINRA’s registration process and information in filings from firms, regulators, and investment professionals. Additionally, the database contains information on formerly registered brokers who may work for other financial services industries.

For more information about BrokerCheck, visit

Three Common Types of Mutual Funds

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Aegis Capital Corp

A New York City-based broker-dealer founded in 1984, Aegis Capital Corp. offers a comprehensive selection of services for individual and institutional investors. Retail services provided by Aegis Capital Corp. include mutual funds, the structures of which vary based on the needs of the investor.

Money market funds: Money market funds typically invest in low-risk assets such as treasury bills, government bonds, and certificates of deposit. Although the risk profile of money market funds is low, the potential returns are also relatively low.

Equity funds: As the name suggests, equity funds invest in stocks. Unlike money market funds, which provide consistent returns with low risk, equity funds involve fast growth and higher risk. Investors can choose from a variety of equity funds, including value stocks, growth stocks, income funds, and more.

Index funds: Index funds peg their value to the performance of indices such as the S&P/TSX Composite Index. Because index funds require fewer investment decisions from the fund manager, costs associated with index funds are relatively low.

Benefits of Mezzanine Financing

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Aegis Capital Corp

For more than three decades, Aegis Capital Corp. has provided investment banking services for clients in the mid-market space. Aegis Capital Corp. regularly assists clients with broad based private debt and equity financing as well as mezzanine financing.

Mezzanine financing refers to the segment of a company’s capital situated between common equity and senior debt. Typically appearing in the form of preferred equity or subordinated debt, mezzanine financing provides a number of benefits for companies.

For companies with relatively little in the way of collateral, mezzanine financing provides a means of securing funding for growth. Borrowers can also use mezzanine financing to diversify an owner’s holdings, often in response to reinvestment of personal dividends back into the business.

On the lender side, mezzanine capital arrangements often include provisions for a warrant, which enables investors to convert their holdings to common stock if the company begins performing well. Mezzanine debt also features higher yields than more senior debt or secured debt. Because mezzanine financing is usually subordinate to senior debt, however, the risk of default on mezzanine capital is also elevated.

Aegis Capital Corp. Launches New Fixed Income Municipal Bond Division

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Aegis Capital Corp

Established more than three decades ago, Aegis Capital Corp. offers a host of retail and institutional broker-dealer solutions. In June 2016, the firm announced the creation of a dedicated Fixed Income Municipal Bond Division. The new Aegis Capital Corp. division has been created with a team that was previously with Hapoalim Securities, where its members achieved significant success with a blue-chip client base.

The new addition to Aegis’ Institutional Desk is guided by Anthony J. Lauriello, who directed Hapoalim’s Municipal Institutional Sales and Trading division for five years and who has two decades of experience with Oppenheimer/CIBC.

The team maintains coverage that extends to many of the nation’s leading insurance providers, fixed-income money managers, and mutual funds; a core focus is on tax-exempt securities spanning major Midwest issuers and Northeast region and California credits. Another area of activity is in zero coupon bonds, which do not pay interest and are traded at a significant discount on their full value at maturity.

The Difference between an IPO and an APO

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Founded by Robert Eide in 1984, Aegis Capital Corp. has evolved from a real estate focused business to a full service wealth management firm to meet the changing needs of clients. Offering comprehensive financial and investment services, Aegis Capital Corp. offerings include including APO venture capital and bridge services to an IPO.

Often used by smaller companies and startups that need additional investment to expand, an Initial Public Offering (IPO) is the first public sale of stock by a private company. Generally in an IPO, an underwriting firm helps to determine the correct timing of an initial offering and will also determine what price to set. An alternative public offering (APO), is an alternative to an IPO that still allows a company to go public.

An APOs key difference from an IPO is that it allows a company to go public with no public raising of capital. The capital in an APO is instead obtained through a private agreement where an investor, usually institutional in nature, purchases shares. This is called a private investment of public equity. The other component of an APO is a reverse merger, where investors acquire a majority stake of a public shell company and merge it with the private firm going public. By using this process, an APO offers a simpler and faster means to go public compared to an IPO.

Discounted Payoffs – Resolving Problem Debt in Commercial Real Estate

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Aegis Capital Corp

With an East Coast regional investment presence spanning three decades, Aegis Capital Corp. provides corporate, institutional, and retail clients with a full range of financial solutions. Aegis Capital Corp. offers comprehensive debt market services that range from project financing and refinancing to discounted payoff (DPO).

Commonly employed in resolving commercial real estate problem-debt situations, the DPO is utilized when the real property asset has significantly declined to the point where the amount available for refinancing is less than the outstanding loan. DPOs also come into play when the lender experiences outside pressure to decrease its exposure to the commercial real estate market. As it involves a loss to the lender, it is typically used as a last resort after other debt recovery avenues have failed.

When DPO situations do occur, they must be moved on quickly, which can be problematic, as conventional lenders will be reluctant to step in and help finance this type of payoff. In most situations, a semi-hard or hard money bridge loan is the only viable option for accomplishing the payoff and working toward a footing in which conventional refinancing becomes possible. It makes sense to work with a specialized financial services provider in enabling DPOs to move forward smoothly.

Alternative Public Offerings – An Efficient IPO Alternative

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Aegis Capital Corp

New York City-headquartered Aegis Capital Corp. offers clients a comprehensive range of institutional and retail financial management solutions. Having enabled capital market transactions totaling more than $55 billion, Aegis Capital Corp.’s transactional experience extends to initial public offerings (IPOs) and alternative public offerings (APOs).

APOs combine a private investment of public equity (PIPE) with reverse mergers. This allows companies to avoid the often cumbersome and time-consuming IPO process.

With the APO, a shell company with no real assets or liabilities beyond PIPE financing is set up. Restricted, unregistered stock is sold to accredited private investors, with the underwriting investment bank typically arranging financing through institutional partners. Once capital is raised and due diligence conducted, 8K documentation is filed with the SEC, along with a registration statement, at which point the PIPE is released from escrow and the stock can be traded.

Properly funded, APOs offer a number of advantages over IPOs, including cost savings and fewer required public disclosures prior to closing of the deal. This enables private companies to assess viability accurately among investors before an announcement is made. PIPE investors also receive a host of benefits, including the ability to sell the stock at a significant discount to valuation on the public market. The successful APO thus serves to spark general investor interest in the newly liquid company stock and fuels subsequent growth.