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.

Jason Seale, III Suspended from Securities Industry by FINRA for Using Unauthorized Discretion

Jason Seale, III Suspended from Securities Industry by FINRA for Using Unauthorized Discretion

Kevin J. Deloatch, Esq.2026-08-05T12:07:08-05:00August 14th, 2021|Securities Law, FINRA - Broker Actions, Fraud|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser, Jason Lee Seale, III (CRD # 1874548) was recently suspended from the securities [...]

Matthew Perry Barred by FINRA from Securities Industry After Refusing to Cooperate In Options Trading Investigation

Matthew Perry Barred by FINRA from Securities Industry After Refusing to Cooperate In Options Trading Investigation

Kevin J. Deloatch, Esq.2026-08-05T12:07:09-05:00August 12th, 2021|FINRA - Broker Actions, Markets and Products|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that now former broker/investment adviser, Matthew Alexander Perry (Alex Perry) (CRD # 5985300) was recently [...]

Walter Allen Barred from Securities Industry by FINRA After Refusing to Cooperate In Unauthorized Discretion Investigation

Walter Allen Barred from Securities Industry by FINRA After Refusing to Cooperate In Unauthorized Discretion Investigation

Kevin J. Deloatch, Esq.2026-08-05T12:07:11-05:00August 9th, 2021|Securities Law, FINRA - Broker Actions, Fraud|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Walter Morrow Allen (CRD # 1344149) was recently barred from the securities industry [...]

Cesar Hurtado Suspended from the Securities Industry by FINRA for Unsuitable Option Strategy Recommendations

Cesar Hurtado Suspended from the Securities Industry by FINRA for Unsuitable Option Strategy Recommendations

Kevin J. Deloatch, Esq.2026-08-05T12:07:13-05:00August 8th, 2021|Securities Law, FINRA - Broker Actions, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser, Cesar Hurtado (CRD # 4137948) was recently suspended from the securities industry [...]

Eugene McAdams Barred from Securities Industry by FINRA After Suitability Investigation

Eugene McAdams Barred from Securities Industry by FINRA After Suitability Investigation

Kevin J. Deloatch, Esq.2026-08-05T12:07:14-05:00August 5th, 2021|Securities Law, FINRA - Broker Actions, Fraud, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Eugene McAdams (CRD # 4190211) was recently barred from the securities industry by [...]

FINRA Commenced Disciplinary Proceedings Against Daniel O’Neill for Churning

FINRA Commenced Disciplinary Proceedings Against Daniel O’Neill for Churning

Kevin J. Deloatch, Esq.2026-08-05T12:07:32-05:00July 31st, 2021|Securities Law, Churning, FINRA - Broker Actions, Fraud, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that the FINRA Department of Enforcement recently commenced disciplinary proceedings against broker, Daniel O’Neill [...]

Christopher Orlando Barred from Securities Industry by FINRA for Churning

Christopher Orlando Barred from Securities Industry by FINRA for Churning

Kevin J. Deloatch, Esq.2026-08-05T12:07:34-05:00July 30th, 2021|Securities Law, Churning, FINRA - Broker Actions, Fraud, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Christopher George Orlando (CRD # 4136262) was recently barred from the securities industry [...]

Gilbert Kuta Suspended from Securities Industry by FINRA for Unauthorized Discretion

Gilbert Kuta Suspended from Securities Industry by FINRA for Unauthorized Discretion

Kevin J. Deloatch, Esq.2026-08-05T12:08:19-05:00July 28th, 2021|Securities Law, FINRA - Broker Actions, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser, Gilbert Anthony Kuta (CRD # 1084075) was recently suspended from the securities [...]

NEXT Financial Group, Inc. Sanctioned by FINRA for Failure to Supervise Mutual Funds and Municipal Bonds

NEXT Financial Group, Inc. Sanctioned by FINRA for Failure to Supervise Mutual Funds and Municipal Bonds

Kevin J. Deloatch, Esq.2026-08-05T12:08:21-05:00July 18th, 2021|Securities Law, Improper Mutual Fund Sales Practices, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, NEXT Financial Group, Inc. (CRD # 46214) was recently sanctioned by FINRA’s Department [...]

Gary Bowman Suspended from Securities Industry by FINRA for Unsuitable Short-Term Trading of UITs

Gary Bowman Suspended from Securities Industry by FINRA for Unsuitable Short-Term Trading of UITs

Kevin J. Deloatch, Esq.2026-08-05T12:09:17-05:00July 14th, 2021|Securities Law, Churning, FINRA - Broker Actions, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser, Gary Max Bowman (CRD # 2035699) was recently suspended from the securities [...]

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