SEC Files Fraud Charges Against Windsor Street Broker Jovannie Aquino Jovannie Aquino (CRD#: 4876661, New York, New York) is a previous registered representative of Windsor Street Capital, LP (May 29, 2014 to November 17, 2017). The Securities and Exchange Commission (“SEC”) charged Aquino with defrauding Windsor Street Capital investors by way of his excessive trading. […]

Meyers Associates Broker Emil Botvinnik Charged With Fraud Emil Botvinnik (CRD#: 4359481, New York, New York) is a previous registered representative of Meyers Associates, L.P. who was employed from June 19, 2012 to November 17, 2014. The Securities and Exchange Commission (“SEC”) filed a Complaint against Botvinnik alleging that he committed securities fraud. United States […]

SEC Fines Alexander Capital For Failure To Supervise Alexander Capital, L.P. (CRD #40077, New York, New York) is a broker-dealer registered with both Securities Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) that consented to an SEC Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and […]

In an article, Feb. 7, 2013, in the New York Post, it was reported that (broker-dealer owner), Anastasios “Tommy” Belesis' firm, John Thomas Financial, is being investigated by the FBI, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority Inc. (FINRA). Mr. Belesis has made many media appearances on cable business/financial shows. […]

The Financial Industry Regulatory Authority Inc., also known as FINRA, is proposing a new rule that would allow investors to access information about a financial advisor’s business and disciplinary history directly from the firm’s web page. FINRA filed a regulatory notice in the Jan. 25 edition of the Federal Register. FINRA said the rule would […]

FINRA, the Financial Industry Regulatory Authority, has eased up on a controversial interpretation of its new suitability rule in a move that is bound to make the industry happy writes Dan Jamieson in a recent artilce in InvestmentNews.com. The new guidance issued December 10th., 2012, FINRA backtracked from an earlier interpretation of the rule, which […]

The Securities and Exchange Commission (SEC) announced that it obtained an emergency court order to halt an alleged Ponzi-like scheme operated by Small Business Capital Corp. and its principal Mark Feathers, who raised $42 million by selling securities issued by Investors Prime Fund LLC and SBC Portfolio Fund LLC - two mortgage investment funds they […]

The Securities and Exchange Commission (SEC) recently announced that it has obtained an emergency court order to freeze the assets of a South Florida man who has been charged with fraudulently offering investments in oil drilling projects in an article posted on the SEC's website. The SEC’s complaint, unsealed in federal court in West Palm […]

FINRA, the Financial Industry Regulatory Authority announced that it has added features to BrokerCheck to help users more easily access broker-dealer and investment adviser information. Many of the changes implemented by FINRA address recommendations made in a January, 2011. study by the Securities and Exchange Commission (SEC) reported FINRA in an article on their website. […]