Tag Archives: Wynston Hill Capital LLC

FINRA Sanctions Wynston Hill Stockbroker For Failure To Supervise

November 22, 2021  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Craig Jay Sherman of Fletcher, North Carolina, a stockbroker formerly registered with Wynston Hill Capital LLC, has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he failed to supervise stockbrokers’ trading at Wynston Hill. Letter of Acceptance Waiver […]

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FINRA Sanctions Wynston Hill Capital Stockbroker For Altering Documents

October 08, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News, Unauthorized Trading   |   Comments Off on FINRA Sanctions Wynston Hill Capital Stockbroker For Altering Documents

Christopher Joseph Nelson of Brandon South Dakota a stockbroker formerly registered with Wynston Hill Capital LLC has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Nelson falsified the records of Wynston Hill concerning trades in customer accounts. Letter […]

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Wynston Hill Stockbroker Barred In Investigation

May 15, 2021  |   Posted by :   |   Excessive Trading, Investment and Regulatory News, Unauthorized Trading, Unsuitable Investment Recommendations   |   Comments Off on Wynston Hill Stockbroker Barred In Investigation

Matthew Angelo Siliato of Bronx New York a stockbroker formerly registered with Wynston Hill Capital LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he did not cooperate with FINRA’s investigation into allegations of him making unauthorized and excessive trades. Letter of Acceptance […]

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FINRA Suspends Wynston Hill Stockbroker For Obstruction

February 20, 2018  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Steve Morris of New York New York is a stockbroker formerly registered with Wynston Hill Capital LLC who has been has suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he failed to adequately respond to FINRA staff regarding his compliance with a settlement agreement […]

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