Tony Tricarico (CRD #: 1047416), a barred New York broker previously registered with Aegis Capital, has consented to a FINRA fine and a six-month suspension, according to his BrokerCheck record, accessed on February 10, 2021. On January 22, 2021, Tony Tricarico of Aegis Capital entered into an Acceptance, Waiver, and Consent agreement with FINRA in…

Read More

Jorge Sonville (CRD #: 2558540), a broker and an investment adviser registered with Merrill Lynch, Pierce, Fenner & Smith, has a new investor complaint regarding an unsuitable investment recommendation, according to his BrokerCheck record, accessed on October 14, 2020. Unsuitability is one of the most common investor complaints, according to the Financial Industry Regulatory Authority…

Read More

What financial products and investments work best for investors who don’t want to expose themselves to risk? Stocks can have very high rates of return, the operative word being “can.” Many investors simply can’t afford to gamble losing their entire investment. Conservative investment strategies don’t come with the excitement of buying and selling stocks, but…

Read More