Articles Posted in AEON Capital Inc.

AEON Capital Inc. is a broker-dealer headquartered in Middletown, New Jersey. According to publicly available records filed with the SEC, the firm likely received sales compensation for selling the GPB funds to retail investors.

AEON Capital Inc. is a firm subject to FINRA Rule 3170. The Rule is referred to as the “Taping Rule,” which requires certain firms to install taping systems to record all telephone conversations between their registered persons and existing and potential customers, review those recordings and file reports with FINRA. The Rule is designed to prevent fraudulent and improper practices in the sale or marketing of financial products. The Rule applies to firms with a significant number of registered persons that previously worked for firms that have been expelled from the industry or have had their registrations revoked for inappropriate sales practices.

Iorio Altamirano LLP is investigating claims on behalf of defrauded investors who were victims in the GPB funds scheme. GPB Capital sold unregistered, high commission limited partnership interests in eight alternative-asset investment funds. The GPB funds were marketed to independent broker-dealers and investment advisers who would in turn sell the GPB funds to their retail investors.

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