Articles Posted in Stockbroker Misconduct

Robert Scott Ginsberg (CRD #5177531) is a registered broker and investment advisor currently employed with Woodbury Financial Services, Inc. (CRD #421) of Wallingford, CT. He was previously employed by Investors Capital Corp. (CRD #30613), also of Wallingford. He has been in the industry since 2008. Ginsberg is the subject of…

Francisco Jose Faraco (CRD #5095972) is a former registered broker and investment advisor whose last employer was Morgan Stanley (CRD #149777) of New York, NY. His previous employers include J.P. Morgan Securities LLC (CRD #79), also of New York, NY, Santander Securities (CRD #41791) and Merrill Lynch, Pierce, Fenner &…

Kyusun Kim (CRD #2864085) is a registered investment advisor and previously registered broker, last employed and registered with Sandlapper Securities, LLC, of San Diego, CA. (He is also known as “Kyu Sun Kim” or “Kenny Kim.”) Kim’s previous employers include Independent Financial Group, LLC (CRD #7717), Lincoln Financial Advisors Corporation…

Jovannie Aquino (CRD #4876661, aka John Aquino) is a former registered broker of New York, NY. Previous employers include Windsor Street Capital (CRD #34171), also in New York City, John Carris Investments LLC (CRD #145767), John Thomas Financial (CRD #40982) and Hallmark Investments, Inc. (CRD #135003) of New York City.…

If you watch your brokerage account regularly, you’ll see the various trades and charges that go along with them. But if you’re seeing transactions that you don’t recall authorizing, and you’re spending a lot more money for fees, commissions and other related charges, it’s time to ask questions. Our South…

Karl Ronald Foust, Jr. (CRD #1010291) is a formerly registered broker and investment advisor who was last registered with H.D. Vest Investment Services (CRD #13686) of Boca Raton, FL. His previous employers include Gunnallen Financial, Inc. (CRD #17609) of Delray Beach, FL, Thomas James Associates, Inc. (CRD #15609) and Apple…

Taek Man Chong (CRD #1551743) is a previously registered broker and investment advisor who was last registered with Raymond James Financial Services, Inc. (CRD #6694) of Mercer Island, WA. His previous employers include Deutsche Bank Securities Inc. (CRD #2525) and SG Cowen Securities Corporation (CRD #7616) of New York, NY,…

William Downing (CRD #1529382) is a former registered broker and investment advisor who was last registered with Coastal Equities, Inc. (CRD #23769) of Wimberly, TX. He was previously employed with J.W. Cole Financial, Inc. (CRD #124583), also of Wimberly, as well as Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD…

Wills Schneider Henriquez (CRD #1872198) is a previously registered broker who was last employed by Network 1 Financial Securities Inc. (CRD #13577) of Brooklyn, NY. His previous employers include Newport Coast Securities, Inc. (CRD #16944), also of Brooklyn, and Legend Securities, Inc., (CRD #44952) of New York, NY. These two…

Satya Brata Shaw (CRD #1229175) is a former registered broker and investment advisor last employed by Center Street Securities, Inc. (CRD #26898) of Wesley Chapel, FL, until November of 2016. His previous employers include Madison Avenue Securities, Inc. (CRD #23224) and AXA Advisors, LLC (CRD #6627) of Tampa, FL and…