Jovannie Aquino of New York New York a stockbroker formerly employed by Windsor Street Capital LP is referenced in a customer initiated investment related civil action where the customer requested $171,851.00 in damages supported by accusations of unlawful equity transactions having been executed in the customer’s investment account. Civil Action No. 58-CV-18-327 (July 18, 2018).
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Aquino is referenced in three more customer initiated investment related disputes pertaining to allegations of Aquino’s violative conduct during the time that he was associated with John Thomas Financial and Rockwell Global Capital, LLC. Specifically, on March 7, 2012, a customer filed an investment related complaint involving Aquino’s activities in which the customer sought $7,185.00 in damages based upon accusations that unauthorized stock trades were effected in the customer’s account.
On August 27, 2012, another customer initiated investment related complaint concerning Aquino’s activities was resolved for $12,000.00 in damages founded on accusations that over-the-counter equities trades were placed in the customer’s account that the customer never authorized. On June 5, 2017, a customer filed an investment related complaint regarding Aquino’s conduct where the customer requested unspecified damages supported by accusations that from January 1, 2017 to April 30, 2017, the customer’s account was churned; the customer had been charged commissions that were excessive; margin was misused; the customer’s instructions were disregarded; and trades were placed in the customer’s account on an unauthorized basis.
Aquino was also terminated from previous employer, Rockwell Global Capital, based upon allegations that he entered into a commission structure with a customer of the firm even though he neither disclosed the arrangement to the firm nor obtained the firm’s consent. Rockwell additionally stated that the commission structure organized between Aquino and the customer was not followed. The customer was reportedly charged commissions that the customer did not approve.
Since August 17, 2005, Aquino has been associated with twelve different broker dealers, nine of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct. #cockroach
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