Category Archives: Private Placements
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 »
