Tag Archives: Wilmington Capital Securities LLC

Wilmington Capital Broker Fined For Outside Business Activities

Thomas John Lisa Jr. of New York New York a stockbroker currently employed by Wilmington Capital Securities LLC has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon Lisa’s consent to findings that he engaged in an outside business activity without disclosing it to […]

Read More »

Aegis Capital Corp Stockbroker Suspended For Lying

November 18, 2016  |   Posted by :   |   FINRA Securities Arbitration   |   0 Comments

Maria Fan, of New York, New York, a stockbroker formerly registered with Aegis Capital Corp., was fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that she made unwarranted and misleading statements concerning investments to a customer. Letter of Acceptance, Waiver and […]

Read More »