Articles Posted in Churning

Robert Anthony Guidicipietro (CRD#: 1588069, aka “Robert A. Peters”) is a currently registered broker and investment advisor employed at Alexander Capital, L.P. (CRD#: 40077) of New York, NY. His previous employers include Arive Capital Markets (CRD#:8060) of Bay Ridge, NY, Aegis Capital Corp. (CRD#:15007), Holmdel, NJ, and Obsidian Financial Group,…

Silver Law Group is currently suing a Long Island-based brokerage firm, which recently went out of business, on behalf of an elderly client who alleges his account was used by the firm’s brokers to generate over $200,000 in commissions via unapproved trades. The so-called churning scheme took place over a…

If you’ve lost money with Aegis Capital Corp. Silver Law Group may be able to help you recover your losses. To discuss how your account was handled, contact us today for a no-cost consultation at 954-755-4799 or by email at ssilver@silverlaw.com. Aegis Capital Corp. is a FINRA (Financial Industry Regulatory…

Aegis Capital Corp. recently submitted a Letter of Acceptance, Waiver, and Consent (AWC) to settle claims with the Financial Industry Regulatory Authority (FINRA) over alleged rule violations regarding churning customer accounts. Aegis is a brokerage and investment adviser firm based in New York City that has been a FINRA member…

Kishan Parikh (CRD#:5506554, aka “Sean Parikh”) is a previously registered broker whose last employer was Aegis Capital Corp. (CRD#:15007) of New York, NY. His previous employer was Max International Broker/Dealer Corp. (CRD#:46039), also of New York City, was expelled by FINRA on 1/29/2013. He has been in the industry since…

Alphonse Stazzone (Alphonse Joseph Stazzone CRD:#4908107) is a previously registered broker and whose last known employer was Monmouth Capital Management LLC (CRD#:290248) of Holmdel, New Jersey. His previous employers include Garden State Securities, Inc. (CRD#:10083) of Red Bank, NJ and Woodstock Financial Group, Inc. (CRD#:38095) of Staten Island, NY. He…

Donatas Belys Vildzius (CRD#: 2202883) is a former broker and registered investment advisor whose last known employer was Network 1 Financial Securities Inc. (CRD#:13577) of Danbury, CT. His previous employers include Rockwell Global Capital LLC (CRD#:142485), also of Danbury, Source Capital Group, Inc. (CRD#:36719), of Westport, CT, and Wachovia Securities,…

Marc Reda (Marc Augustus Reda CRD:#2757330) is a registered broker currently employed with SPARTAN CAPITAL SECURITIES, LLC (CRD# 146251) of New York, NY. His previous employers include First Standard Financial Company LLC (CRD#:168340) of Staten Island, NY, PHX Financial, Inc. (CRD#:144403) and Laidlaw & Company (UK) Ltd. (CRD#:119037) also of…

Kevin Meadows (Kevin Kimball Meadows CRD #2878889) is a former registered broker and investment advisor whose most recent employer was IBN Financial Services, Inc. of Liverpool, NY. Prior to working at IBN, Meadows was registered with Lombard Securities Incorporated, Cape Securities Inc, and First Allied Securities, Inc.  Meadows has been…

Ryan Raskin (Ryan Ashley Raskin CRD# 5539610) is a former registered broker and investment advisor was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#7691) in Beverly Hills, California from 2016-2020. Raskin previously worked with Morgan Stanley in Woodland Hills, California from 2009-2016. In March 2020, Raskin was discharged…