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.

Kevin David Barton Suspended from Securities Industry by FINRA for Sales Practice Violations

2021-05-01T21:40:37-05:00May 1st, 2021|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Kevin David Barton (CRD # 2542056) was recently suspended from the securities [...]

John Lee Scott Barred from Securities Industry After FINRA Investigation Into Private Placements

2021-04-30T16:28:53-05:00April 30th, 2021|FINRA - Broker Actions, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John Lee Scott (CRD # 2407610) was recently barred from the securities [...]

Matthew Angelo Siliato Barred from Securities Industry After FINRA Investigation for Churning and Unauthorized Trading

2021-04-30T10:05:33-05:00April 30th, 2021|Churning, FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Matthew Angelo Siliato (CRD # 5062153) was recently barred from the securities [...]

David Scott Fergang Suspended From Securities Industry by FINRA for Unauthorized Discretion

2021-04-29T10:18:13-05:00April 29th, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, David Scott Fergang (CRD # 1758758) was recently suspended from the securities [...]

Jared Matthew Reinstein Suspended from Securities Industry by FINRA for Unauthorized Trading

2021-04-28T21:57:37-05:00April 28th, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Jared Matthew Reinstein (CRD # 5411470) was recently suspended from the securities [...]

Frederick Joseph Rock Suspended by FINRA from Securities Industry for Unapproved Sales of Private Placement Securities

2021-04-27T14:28:06-05:00April 27th, 2021|FINRA - Broker Actions, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Frederick Joseph Rock (CRD # 2548242) was recently suspended from the securities [...]

David Zuber Barred by FINRA From Securities Industry After Investigation of Private Securities Offering

2021-04-25T17:33:08-05:00April 25th, 2021|FINRA - Broker Actions, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, David B. Zuber (CRD # 3239595) was recently barred from the securities [...]

Independent Financial Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of Non-Traded REITs

2021-05-02T20:34:10-05:00April 22nd, 2021|Markets and Products, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Independent Financial Group, LLC (CRD # 7717) was recently sanctioned by FINRA’s [...]

Joseph Ambrosole Suspended by FINRA From Securities Industry for Churning and Unsuitable Recommendations

2021-04-13T21:11:08-05:00April 13th, 2021|Churning, FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Joseph A. Ambrosole (CRD # 5732488) was recently suspended from the securities industry [...]

Go to Top