FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054188601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aegis Capital Corp., Respondent Member Firm CRD No. 15007 Pursuant to FINRA Rule 9216, Respondent Aegis Capital Corp. (“Respondent,” the “Firm” or “Aegis”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Robert Juan Escobio, Coral Gables, FL, Respondent. DECISION Complaint No. 2018059545201 Dated: March 10, 2021 Respondent failed to respond to FINRA information requests and failed to appear and provide testimony. Held, findings and sanctions affirmed. Appearances For the Complainant: Megan P. Davis, Esq., Janine D. Arno, Esq., Department of Enforcement, Financial Industry