Articles Posted in Capitol Securities Management

FINRA has suspended Aegis Capital broker Gilbert Kuta from the securities industry for ten days for exercising discretion without written authorization in customers’ accounts, in violation of NASD Rule 2510(b) and FINRA Rule 2010.

The alleged misconduct is said to have taken place from December 2017 through June 2018 while Mr. Kuta was registered with Capitol Securities Management, Inc. Mr. Kuta was also fined $5,000.

Mr. Kuta’s suspension is scheduled to begin on August 16, 2021, and end on August 27, 2021.

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