Kevin J. Deloatch, Esq.

About Kevin J. Deloatch, Esq.

Kevin J. Deloatch, Esq. is an attorney in New York. His areas of practice include criminal defense and securities litigation in the forums of state court; federal court and securities industry arbitrations conducted by the Financial Industry Regulatory Authority (FINRA). He represents investors as well as registered individuals in FINRA arbitrations.

James Holmes, III Suspended by FINRA from Securities Industry: Reg BI and Unauthorized Discretion

James Holmes, III Suspended by FINRA from Securities Industry: Reg BI and Unauthorized Discretion

Kevin J. Deloatch, Esq.2025-11-28T11:12:48-05:00November 28th, 2025|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, James Eugene Holmes, III (CRD # 2174697) was recently suspended from the [...]

Joseph Kelly Suspended by FINRA from Securities Industry for Reg BI Violation

Joseph Kelly Suspended by FINRA from Securities Industry for Reg BI Violation

Kevin J. Deloatch, Esq.2025-12-04T21:40:01-05:00September 24th, 2025|Churning, FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Joseph Kelly (CRD # 4560737) was recently suspended from the securities industry by [...]

Antonio Molinos Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Antonio Molinos Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Kevin J. Deloatch, Esq.2025-09-22T17:06:56-05:00September 22nd, 2025|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Antonio Molinos (CRD # 2764977) was recently suspended from the securities industry by [...]

Zachary Ellis Taylor Suspended from Securities Industry by FINRA Unsuitable Recommendations

Zachary Ellis Taylor Suspended from Securities Industry by FINRA Unsuitable Recommendations

Kevin J. Deloatch, Esq.2025-09-19T14:36:51-05:00September 19th, 2025|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Zachary Ellis Taylor (CRD # 6074776) was recently suspended from the securities industry [...]

Joseph Warner Rozof Suspended from Securities Industry by FINRA for Unauthorized Discretion

Joseph Warner Rozof Suspended from Securities Industry by FINRA for Unauthorized Discretion

Kevin J. Deloatch, Esq.2025-09-03T11:24:56-05:00September 3rd, 2025|Churning, FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joseph Warner Rozof (CRD # 5274784) was recently suspended from the securities [...]

Western International Securities, Inc. Sanctioned by FINRA For Failure to Supervise

Western International Securities, Inc. Sanctioned by FINRA For Failure to Supervise

Kevin J. Deloatch, Esq.2024-09-07T09:03:12-05:00September 7th, 2024|Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Western International Securities, Inc. (CRD # 39262) was recently sanctioned by FINRA’s [...]

Glenn Bridwell, Jr. Suspended From Securities Industry by FINRA for Unauthorized Discretion

Glenn Bridwell, Jr. Suspended From Securities Industry by FINRA for Unauthorized Discretion

Kevin J. Deloatch, Esq.2024-09-07T08:34:08-05:00September 7th, 2024|Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Glenn Bridwell, Jr. (CRD # 1783191) was recently suspended from the securities [...]

Craig Sherman Thistlethwaite Suspended from Securities Industry by FINRA for Unauthorized Discretion

Craig Sherman Thistlethwaite Suspended from Securities Industry by FINRA for Unauthorized Discretion

Kevin J. Deloatch, Esq.2024-07-28T10:34:25-05:00July 28th, 2024|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Craig Sherman Thistlethwaite (CRD # 2507050) was recently suspended from the securities [...]

The Jeffrey Matthews Financial Group, L.L.C. Sanctioned by FINRA for Reg BI Violation

The Jeffrey Matthews Financial Group, L.L.C. Sanctioned by FINRA for Reg BI Violation

Kevin J. Deloatch, Esq.2024-07-26T09:32:17-05:00July 26th, 2024|Conflicts of Interest, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, The Jeffrey Matthews Financial Group, L.L.C. (CRD # 41282) was recently sanctioned [...]

Yong Soo Kim and Kayan Securities, Inc. Sanctioned by FINRA for Failure to Supervise and Reg BI Violations

Yong Soo Kim and Kayan Securities, Inc. Sanctioned by FINRA for Failure to Supervise and Reg BI Violations

Kevin J. Deloatch, Esq.2024-05-29T11:29:25-05:00May 29th, 2024|Churning, Conflicts of Interest, FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Yong Soo Kim (CRD # 1747849) and broker, Kayan Securities, Inc. (CRD [...]

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