Articles Posted in Stockbroker Misconduct

Michael Fasciglione (CRD# 1806486) is a previously registered broker last employed with Aegis Capital Corp. (CRD# 15007) of Garden City, NY. His previous employers include   National Securities Corporation (CRD# 7569) of Mineola, NY, First Montauk Securities Corp. (CRD#:13755) of Port Washington, NY, and Oppenheimer & Co. Inc. (CRD# 249)…

According to FINRA Disciplinary actions for December 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   John Carlson   Capital Financial Services, Inc.   Integrity Funds Distributor, Inc.   John Goodwin…

According to FINRA Disciplinary actions for December 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Thomas Cole…

According to FINRA Disciplinary actions for December 2023, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…

According to FINRA Disciplinary actions for November 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Charles Connors…

According to FINRA Disciplinary actions for November 2023, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…

According to FINRA Disciplinary actions for November 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Patrick Cavanagh   Spartan Capital securities, LLC   National Securities Corporation   Michael Digioia  …

William King (William Worthen King CRD# 1432593, aka “Bill King”) is a previously registered broker and investment advisor who spent his entire 37-year career at Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of Vero Beach, FL beginning in 1985.  King voluntarily resigned from Merrill Lynch on 4/21/2023 after allegations…

Todd Lesk (Todd Michael Lesk CRD# 2788300) is a former registered broker and investment advisor most recently employed with Cambridge Investment Research, Inc. (CRD# 39543) of Coral Springs, FL. His previous employers include LPL Financial LLC (CRD# 6413), also of Coral Springs, Invest Financial Corporation (CRD# 12984) of Fort Lauderdale,…

Shane Wilhelm (Shane Collins Wilhelm CRD# 4803933) is a former registered broker and investment advisor last employed with Fortune Financial Services, Inc. (CRD# 42150) of Moneta, VA. His previous employers include Truist Investment Services, Inc. (CRD#:17499), BB&T Securities, LLC (CRD# 142785), and Scott & Stringfellow, LLC (CRD# 6255) all of…