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.

Robert David Suspended from Securities Industry by FINRA for Falsifying Customer Information

2022-04-09T19:43:27-05:00April 9th, 2022|Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert David, Jr. (CRD # 5211223) was recently suspended from the securities [...]

Eric Nicolassy Suspended from Securities Industry by FINRA for Churning, Suitability and Unauthorized Trading

2022-04-01T10:42:24-05:00March 28th, 2022|Churning, FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Eric Edward Nicolassy (CRD # 6244539) was recently suspended from the securities industry by [...]

Christopher Bond Suspended by FINRA from Securities Industry for Unauthorized Discretion

2022-02-13T14:17:50-05:00February 13th, 2022|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Broker/Investment Adviser, Christopher Edward Bond (CRD # 4658534) was recently suspended from the securities industry [...]

William Nicholas Athas Barred from Securities Industry by FINRA for Churning and Suitability

2022-02-10T09:08:57-05:00February 10th, 2022|Churning, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, William Nicholas Athas (CRD # 3165470) was recently barred from the securities industry by [...]

Ronald Bright Suspended from Securities Industry by FINRA for Unauthorized Discretion

2022-02-03T18:26:09-05:00February 3rd, 2022|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Broker/Investment Adviser, Ronald Scott Bright (CRD # 2702179) was recently suspended from the securities industry [...]

CIM Securities, LLC Sanctioned by FINRA for Failure to Supervise Private Placement Offerings

2022-02-01T21:38:45-05:00February 1st, 2022|Private Placements, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, CIM Securities, LLC (CRD # 120852) was recently sanctioned by FINRA’s Department [...]

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