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.