Windsor Street Securities Broker John Riccardi Ordered To Pay Investor For Losses FINRA reports troubling information in regard to Windsor Street securities broker John F. Riccardi Jr. (CRD#: 4771185, New York, New York). Notably, FINRA indefinitely suspended Riccardi’s broker registration because he did not pay compensatory damages to a client who sued him for sales […]

Windsor Street's Raana Khan Allegedly Made Unsuitable Sales Of Private Placements Soreide Law Group is reviewing possible investor claims against broker Imtiaz “Raana” Khan (CRD#: 4084250, New York, New York). Apparently, the stockbroker was an executive for Windsor Street Capital, LP from July 21, 2006 to May 31, 2018 before joining Joseph Stone Capital L.L.C. […]

ALERT!WINDSOR STREET CAPITAL Expelled For Fraudulent Scheme The Financial Industry Regulatory Authority (“FINRA”) Office of Hearing Officers issued a Default Decision #:2016048912703 on May 28, 2019, expelling Windsor Street Capital and barring two of its employees, Arthur Tacopino and Edwin Rodriguez. FINRA stated that Windsor Street, among other things, committed a fraudulent scheme which caused […]

Attention: Customer Files Fraud Claim Involving Windsor Street Broker Anthony Pace Anthony Pace (CRD#: 2481049, New York, New York) is a prior Windsor Street Capital, LP securities representative and supervisor. Apparently, Anthony Pace worked at the firm from October 28, 2015 to May 29, 2018 – the day FINRA expelled the firm. Notably, Anthony Pace […]

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. […]

Soreide Law Group obtained the following on FINA’s Disciplinary Report February, 2017: The Office of Hearing Officers (OHO) issued the following decision, which has been appealed to or called for review by the NAC as of December 31, 2016. The NAC may increase, decrease, modify or reverse the findings and sanctions imposed in the decision. […]