{"id":7307,"date":"2018-10-11T16:08:07","date_gmt":"2018-10-11T20:08:07","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7307"},"modified":"2018-10-11T16:10:38","modified_gmt":"2018-10-11T20:10:38","slug":"sec-charges-broker-jovannie-aquino","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/sec-charges-broker-jovannie-aquino\/","title":{"rendered":"SEC Charges Broker Jovannie Aquino"},"content":{"rendered":"<p>Jovannie Aquino (CRD #<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/4876661\" target=\"_blank\">4876661<\/a>, aka John Aquino) is a former registered broker of New York, NY. Previous employers include Windsor Street Capital (<a href=\"https:\/\/brokercheck.finra.org\/firm\/summary\/34171\" target=\"_blank\">CRD #34171<\/a>), also in New York City, John Carris Investments LLC (<a href=\"https:\/\/brokercheck.finra.org\/firm\/summary\/145767\" target=\"_blank\">CRD #145767<\/a>), John Thomas Financial (<a href=\"https:\/\/brokercheck.finra.org\/firm\/summary\/40982\" target=\"_blank\">CRD #40982<\/a>) and Hallmark Investments, Inc. (<a href=\"https:\/\/brokercheck.finra.org\/firm\/summary\/135003\" target=\"_blank\">CRD #135003<\/a>) of New York City.<\/p>\n<p>Aquino has worked for a total of 12 brokerages, holds Series 7 and 63 licenses and began working in the industry in 2004. Aquino has two LinkedIn pages that do appear to be updated, and no current employment information is available.<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft size-medium wp-image-1666\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/09\/pic-6-300x199.jpg\" alt=\"SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors on elderfinancialfraudattorneys.com\" width=\"300\" height=\"199\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/09\/pic-6-300x199.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/09\/pic-6-768x508.jpg 768w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/09\/pic-6-181x120.jpg 181w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/09\/pic-6.jpg 923w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>On September 7, 2018, the SEC charged Aquino with defrauding customers by engaging in \u201cchurning\u201d to generate excessive commissions for himself, in the amount of $930,000. Aquino\u2019s customers lost a total of $881,000. At the time of these allegations, May 2014 through November 2017, Aquino was registered with Meyers Associates, L.P. (now known as Windsor Street Capital.) The SEC complaint also states that in 2015 and 2016, Aquino and an unnamed colleague engaged in cold-calling leads acquired from a publicly available database.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/sec-charges-broker-jovannie-aquino\/\"  title=\"Continue Reading SEC Charges Broker Jovannie Aquino\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>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. Aquino has worked for a [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[589,580,581],"tags":[81,1278,1279,1280,200],"class_list":["post-7307","post","type-post","status-publish","format-standard","hentry","category-churning-2","category-stockbroker-misconduct","category-unauthorized-trading","tag-john-thomas-financial","tag-jovannie-aquino","tag-scott-silver-john-thomas-financial","tag-scott-silver-windsor-street-capital","tag-windsor-street-capital"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>SEC Charges Broker Jovannie Aquino &#8212; Securities Arbitration Lawyers Blog &#8212; October 11, 2018<\/title>\n<meta name=\"description\" content=\"Jovannie Aquino (CRD #4876661, aka John Aquino) is a former registered broker of New York, NY. Previous employers include Windsor Street Capital (CRD &#8212; October 11, 2018\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/sec-charges-broker-jovannie-aquino\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"SEC Charges Broker Jovannie Aquino &#8212; Securities Arbitration Lawyers Blog &#8212; October 11, 2018\" \/>\n<meta name=\"twitter:description\" content=\"Jovannie Aquino (CRD #4876661, aka John Aquino) is a former registered broker of New York, NY. Previous employers include Windsor Street Capital (CRD &#8212; October 11, 2018\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/09\/pic-6.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"SEC Charges Broker Jovannie Aquino &#8212; Securities Arbitration Lawyers Blog &#8212; October 11, 2018","description":"Jovannie Aquino (CRD #4876661, aka John Aquino) is a former registered broker of New York, NY. 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Previous employers include Windsor Street Capital (CRD &#8212; October 11, 2018","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/09\/pic-6.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/sec-charges-broker-jovannie-aquino\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/sec-charges-broker-jovannie-aquino\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"SEC Charges Broker Jovannie Aquino","datePublished":"2018-10-11T20:08:07+00:00","dateModified":"2018-10-11T20:10:38+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/sec-charges-broker-jovannie-aquino\/"},"wordCount":548,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/sec-charges-broker-jovannie-aquino\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/09\/pic-6-300x199.jpg","keywords":["John Thomas Financial","Jovannie Aquino","scott silver John Thomas Financial","scott silver windsor street capital","Windsor Street Capital"],"articleSection":["Churning","Stockbroker Misconduct","Unauthorized Trading"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/sec-charges-broker-jovannie-aquino\/","url":"https:\/\/www.silverlaw.com\/blog\/sec-charges-broker-jovannie-aquino\/","name":"SEC Charges Broker Jovannie Aquino &#8212; Securities Arbitration Lawyers Blog &#8212; October 11, 2018","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/sec-charges-broker-jovannie-aquino\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/sec-charges-broker-jovannie-aquino\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/09\/pic-6-300x199.jpg","datePublished":"2018-10-11T20:08:07+00:00","dateModified":"2018-10-11T20:10:38+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Jovannie Aquino (CRD #4876661, aka John Aquino) is a former registered broker of New York, NY. 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