MICHAEL CHRISTOPHER VENTURINO

08/22/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Michael Venturino (CRD No. 5872439), Respondent. Disciplinary Proceeding No. 2021070337501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From July 2014 to June 2017 (the “Relevant Period”), while associated with FINRA member Aegis Capital Corp. (“Aegis” or the “firm”), Michael Venturino churned and excessively traded 12 accounts of 11 different firm customers. 2. During this period, Venturino exercised de facto control over each of the 12 accounts. He recommended what stocks the customers should buy and sell, and he controlled the volume and frequency of trading in the customers’ accounts. The customers relied on Venturino to trade their accounts and, when consulted, routinely followed his recommendations. Venturino also controlled the accounts by engaging in unauthorized trading.

04/07/2026: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Michael Venturino, Dix Hills, NY, Respondent. DECISION Complaint No. 2021070337501 Dated: April 7, 2026. Registered representative traded in customer accounts without authorization and excessively traded and churned those accounts. Held, findings affirmed, and sanctions modified.

03/21/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL VENTURINO (CRD No. 5872439), Respondent. Disciplinary Proceeding No. 2021070337501 Hearing Officer–MC EXTENDED HEARING PANEL DECISION March 21, 2024 Respondent Michael Venturino is barred from associating with any FINRA member firm in any capacity for engaging in unsuitable excessive trading and churning in six customer accounts, in willful violation of federal securities laws and FINRA rules. He is additionally barred for entering unauthorized trades in the accounts. Respondent is ordered to disgorge $171,419, plus interest to FINRA, and to pay hearing costs. Appearances For the Complainant: Payne Templeton, Esq., Robert Kennedy, Esq., and John Luburic, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: Liam O’Brien, Esq. DECISION I. Introduction The Complaint in this matter focuses on Respondent Michael Venturino’s conduct while he was associated wit

Reference 2021070337501data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org