Category Archives: Private Placements
LPL Financial Broker Barred For Undisclosed Private Securities Transactions
John Edgar Simmons Jr (CRD#: 4878890) is listed by FINRA as a previously registered broker and previously registered investment adviser or RIA. From August of 2011 to September of 2015, Mr. Simmons Jr. worked at Investors Capital Corp. in Pensacola, FL. Subsequently, he served as a representative of LPL Financial LLC in Santa Rosa… Read More »
South Florida Broker Fined, Suspended for Undisclosed OBAs and Private Securities Transactions
David Jin Kyu Chong (CRD#: 2679656) is a registered broker and investment adviser. Since March of 2019, Mr. Chong has served as a financial representative of Newbridge Securities Corporation in Boca Raton, Florida. Previously, he was associated with other broker-dealers, including Aurora Capital LLC, Holly Street Wealth Advisors, Wells Fargo Clearing Services, and Morgan… Read More »
Florida Financial Advisor Now Barred by FINRA
Christopher Charles Hellman (CRD #6584084) was previously a registered broker and a registered investment advisor. In the early part of 2016, he was employed at FMSBonds in Miami, Florida. From September 2016 to October 2018, he served as a representative of Merrill Lynch in Boca Raton, Florida. Recently, Mr. Hellman was barred by FINRA…. Read More »
