Categories | New York Criminal & Securities Attorney

John LoPinto Suspended from Securities Industry by FINRA for Excessive Trading

John LoPinto Suspended from Securities Industry by FINRA for Excessive Trading

By Kevin J. Deloatch, Esq.|2022-01-21T11:36:44-05:00January 21st, 2022|Categories: Churning, FINRA - Broker Actions, Securities Law, Unsuitability|Tags: arbitration, AWC, breach of contract, breach of fiduciary duty, churning, customer account, customer complaint, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, investigation, J.P. Turner, John LoPinto, Legend Securities, Michael, misrepresentation, National Securities Corporation, negligence, Quantitatively unsuitable, securities industry, suitability, suspended, unsuitable, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John LoPinto (CRD # 4563735) was recently suspended from the securities industry by [...]

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Michael Nixon Suspended from Securities Industry by FINRA for Unsuitable Securities Recommendations

Michael Nixon Suspended from Securities Industry by FINRA for Unsuitable Securities Recommendations

By Kevin J. Deloatch, Esq.|2022-01-21T11:34:32-05:00January 21st, 2022|Categories: FINRA - Broker Actions, Securities Law, Unsuitability|Tags: arbitration, AWC, customer account, customer complaint, Department of Enforcement, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investigation, Meyers Associates, Michael Nixon, Newport Coast Securities, Patrick, Paulson Investment Company, securities industry, steepener, suspended, unsuitable recommendations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Michael Nixon (CRD # 2169631) was recently suspended from the securities industry by FINRA’s [...]

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Joel Kichline Suspended from Securities Industry by FINRA for Unauthorized Discretion

Joel Kichline Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-01-18T08:59:21-05:00January 18th, 2022|Categories: FINRA - Broker Actions, Securities Law|Tags: A.G. Edwards, advisor, AWC, broker, complaint, customer account, customer complaint, Department of Enforcement, fine, fined, FINRA, FINRA BrokerCheck, FINRA Rule 2010, FINRA Rule 3260, fraud, investigation, Joel Kichline, NASD Rule 2510, Paul, Raymond James, securities industry, Stifel Nicolaus, suspended, unauthorized discretion, Wachovia Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joel Kichline (CRD # 1416219) was recently suspended from the securities industry by FINRA’s [...]

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Eric Willer Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Eric Willer Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2021-12-17T10:32:41-05:00December 17th, 2021|Categories: FINRA - Broker Actions, Misrepresentation, Private Placements, Securities Law, Unsuitability|Tags: advisor, AWC, broker, customer account, customer accounts, customer complaint, customer complaints, Department of Enforcement, due diligence, Eric Carl Willer, Eric Willer, fine, fined, FINRA, fraud, Fusion Analytics Securities, investigation, Kestra Investment Services, misrepresentation, Misreprsented, private placement, recommendation, recommendations, securities industry, suitability, suspended, suspension, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Eric Carl Willer (CRD # 2263899) was recently suspended from the securities industry [...]

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Alan Feigenbaum Suspended from Securities Industry by FINRA for Unauthorized Discretion

Alan Feigenbaum Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-01-17T15:37:26-05:00December 15th, 2021|Categories: FINRA - Broker Actions, Fraud, Securities Law|Tags: advisor, Alan Feigenbaum, Alan Scot Feigenbaum, AWC, broker, Department of Enforcement, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3260, FINRA Rule 4511, fraud, misrepresentation, NASD Rule 2510, National Securities Corporation, negligence, Newbridge Securities Corporation, Prime Capital Services, sanction, sanctioned, securities industry, securities law, suitability, suspended, unauthorized discretion, unauthorized trading|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Alan Scot Feigenbaum (CRD # 3132230) was recently suspended from the securities industry [...]

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Anthony Graziano Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

Anthony Graziano Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

By Kevin J. Deloatch, Esq.|2021-12-14T13:19:45-05:00December 14th, 2021|Categories: FINRA - Broker Actions, Securities Law|Tags: All principal capacities, American Capital Partners, Anthony Graziano, Anthony Joseph Graziano, AWC, Brookstone Securities, churning, commissions, customer account, customer complaint, Department of Enforcement, excessive margin, excessively traded, failing to reasonably supervise, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, fraud, Gunallen Financial, investigation, Joseph Stone Capital, National Securities Corporation, red flags, Salomon Whitney, sanction, securities, securities industry, suspended, suspension, unauthorized trading, unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Anthony Joseph Graziano (CRD # 2862096) was recently suspended from acting in all [...]

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Adam Maggio Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

Adam Maggio Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

By Kevin J. Deloatch, Esq.|2021-12-13T12:17:47-05:00December 13th, 2021|Categories: FINRA - Broker Actions, Securities Law|Tags: Adam Maggio, All principal capacities, AWC, breach of fiduciary duty, Brundyn Securities, customer accounts, customer complaint, Department of Enforcement, Excessive activity, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, First Midwest Securities, fraud, J.P. Turner & Company, Joseph Stone Capital, misrepresentation, negligence, Reasonably supervise, red flags, sales practice violations, securities industry, suspended, unauthorized trading, unsuitability, VCS Venture Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Adam Maggio (CRD # 4177365) was recently suspended from all principal capacities in [...]

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Bradley Lay Suspended from Securities Industry by FINRA for Unauthorized Discretion

Bradley Lay Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2021-12-13T09:04:07-05:00December 13th, 2021|Categories: FINRA - Broker Actions, Fraud, Securities Law|Tags: acceptance waiver and consent, advisor, AWC, Bradley Lay, broker, customer account, customer complaint, Department of Enforcement, FINRA, FINRA Rule 2010, fraud, investigation, Morgan Keegan, Raymond James, SA Stone Investment Advisors, SA Stone Wealth Management, sanction, sanctioned, securities industry, securities law, suspended, Trading authorization, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Bradley S. Lay (CRD # 4633746) was recently suspended from the securities industry [...]

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Robert Nyilas Barred from Securities Industry by FINRA for Refusing to Cooperate In Suitability Investigation

Robert Nyilas Barred from Securities Industry by FINRA for Refusing to Cooperate In Suitability Investigation

By Kevin J. Deloatch, Esq.|2021-09-16T13:53:41-05:00September 16th, 2021|Categories: FINRA - Broker Actions, Securities Law, Unsuitability|Tags: acceptance waiver and consent, Advisory Group Equity Services, AWC, bar, barred, broker, customer account, Department of Enforcement, FINRA, FINRA Rule 2010, FINRA Rule 8210, investigation, Lebenthal Financial Services, recommendation, refuse to cooperate, refusing to cooperate, Robert Nyilas, Source Capital Group, suitability, unsuitable recommendation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Robert Nyilas (CRD # 1030273) was recently barred from the securities industry by [...]

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Joseph Lianzo Suspended from Securities Industry by FINRA for Churning and Unauthorized Trading

Joseph Lianzo Suspended from Securities Industry by FINRA for Churning and Unauthorized Trading

By Kevin J. Deloatch, Esq.|2021-09-03T10:44:20-05:00September 3rd, 2021|Categories: Churning, FINRA - Broker Actions, Fraud, Securities Law|Tags: arbitration, AWC, Cape Securities, churning, customer account, customer complaints, De facto control, Department of Enforcement, excessive trading, excessively traded, FINRA, FINRA Rule 2010, FINRA Rule 2111, Joseph Lianzo, Laidlaw & Co., Quantitatively unsuitable, sanction, sanctioned, sanctions, securities industry, suspended, SW Financial, unauthorized trades, unauthorized trading, unsuitability, unsuitable, unsuitable recommendation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Joseph Lianzo (CRD # 4516842) was recently suspended from the securities industry by [...]

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