John Charles Barnes of Naples, Florida, a stockbroker formerly registered with RBC Capital Markets LLC, has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because of Barnes’ unauthorized trading in customer accounts during the time that he was associated with RBC Capital…

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…

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…