Categories | New York Criminal & Securities Attorney

Joseph Ambrosole Barred from Securities Industry by FINRA Regarding Investigation of Unsuitable Trading

Joseph Ambrosole Barred from Securities Industry by FINRA Regarding Investigation of Unsuitable Trading

By Kevin J. Deloatch, Esq.|2022-08-09T19:11:52-05:00August 9th, 2022|Categories: FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|Tags: advisor, Alexander Capital, AWC, bar, barred, broker, churning, customer account, customer accounts, Department of Enforcement, excessive trading, FINRA, FINRA Rule 2010, FINRA Rule 8210, investigation, Joseph Ambrosole, Joseph Stone Capital, Meyers Associates, securities industry, unauthorized, unsuitable trading|

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

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James Pecoraro Suspended from Securities Industry by FINRA for Churning

James Pecoraro Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-08-07T16:10:42-05:00August 7th, 2022|Categories: Churning, FINRA - Broker Actions, Fraud, Securities Law|Tags: advisor, arbitration, AWC, breach of fiduciary duty, broker, churning, customer account, customer complaint, Department of Enforcement, excessive, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Harrison Securities, investigation, James Pecoraro, misrepresentation, negligence, Primary Capital, Quantitatively unsuitable, Rockwell Global Capital, sanction, securities industry, Spartan Capital Securities, suspended, SW Financial, unauthorized, unauthorized transactions, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, James Pecoraro (CRD # 2440231) was recently suspended from the securities industry [...]

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National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

By Kevin J. Deloatch, Esq.|2022-06-26T17:42:34-05:00June 26th, 2022|Categories: Conflicts of Interest, Fraud, Markets and Products, Misrepresentation, Private Placements, Securities Law|Tags: arbitration, AWC, breach of contract, breach of fiduciary duty, censure, customer complaint, Department of Enforcement, disgorgement, failure to supervise, fine, FINRA, FINRA Rule 2010, FINRA Rule 2262, FINRA Rule 3010, FINRA Rule 3110, FINRA Rule 5131, fraud, multiple, National Securities Corporation, negligence, NSC, private placement, Reasonably supervise, red flags, restitution, sanctioned, SEC, Securities and Exchange Commission, suitability, unauthorized trading, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, National Securities Corporation (CRD # 7569) was recently sanctioned by FINRA’s Department [...]

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McDonald Partners LLC Sanctioned by FINRA for Failure to Perform Due Diligence on Private Placement Offering

McDonald Partners LLC Sanctioned by FINRA for Failure to Perform Due Diligence on Private Placement Offering

By Kevin J. Deloatch, Esq.|2022-06-24T08:08:57-05:00June 24th, 2022|Categories: Fraud, Markets and Products, Private Placements, Securities Law|Tags: arbitration, AWC, breach of contract, breach of fiduciary duty, censure, customer complaint, Department of Enforcement, due diligence, failure, failure to perform due diligence, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, fraud, investigation, McDonald Partners, negligence, private placement, restitution, sales practice violation, sanctioned, securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, McDonald Partners LLC (CRD # 135414) was recently sanctioned by FINRA’s Department [...]

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Torch Securities, LLC Sanctioned by FINRA Regarding Due Diligence and Supervision Failures

Torch Securities, LLC Sanctioned by FINRA Regarding Due Diligence and Supervision Failures

By Kevin J. Deloatch, Esq.|2022-06-22T13:34:38-05:00June 22nd, 2022|Categories: Markets and Products, Private Placements, Securities Law|Tags: AWC, censure, customer, customer complaints, Department of Enforcement, due diligence, failure, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, investigation, private placement, private placements, red flags, sanctioned, supervise, supervision, Torch Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Torch Securities, LLC (CRD # 133642) was recently sanctioned by FINRA’s Department [...]

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Berthel, Fisher & Co. Financial Services, Inc. Sanctioned by FINRA for Failure to Perform Due Diligence

Berthel, Fisher & Co. Financial Services, Inc. Sanctioned by FINRA for Failure to Perform Due Diligence

By Kevin J. Deloatch, Esq.|2022-06-21T08:11:27-05:00June 21st, 2022|Categories: Markets and Products, Securities Law|Tags: arbitration, AWC, Berthel, Berthel Fisher & Co. Financial Services, censure, customer complaint, Department of Enforcement, due diligence, failure, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2360, FINRA Rule 3110, Fisher, investigation, options, sanction, sanctioned, securities industry, suitability, suitable, supervisory system|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Berthel, Fisher & Co. Financial Services, Inc. (CRD # 13609) was recently [...]

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Charles Baker Barred from Securities Industry by FINRA After Investigation

Charles Baker Barred from Securities Industry by FINRA After Investigation

By Kevin J. Deloatch, Esq.|2022-06-16T19:46:34-05:00June 16th, 2022|Categories: FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|Tags: arbitration, AWC, bar, barred, Charles Baker, commercial honor, customer complaint, Dean Witter Reynolds, Department of Enforcement, discretionary, E.F. Hutton, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, Richfield Orion International, Ronald, securities industry, securities law, trading, unsuitable, WFG Investments|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Charles Ronald Baker (CRD # 10600) was recently barred from the securities [...]

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Blakely Page Suspended from Securities Industry by FINRA for Negligent Misrepresentation

Blakely Page Suspended from Securities Industry by FINRA for Negligent Misrepresentation

By Kevin J. Deloatch, Esq.|2022-06-15T17:10:24-05:00June 15th, 2022|Categories: FINRA - Broker Actions, Fraud, Misrepresentation, Securities Law|Tags: adviser fraud, AWC, Banc of America Securities, Blakely Page, Cascade Financial Management, customer complaint, Department of Enforcement, feeder fund, fine, fined, FINRA, FINRA Rule 2010, fraud, investigation, investment fund, master fund, misrepresentation, negligent, sanction, securities industry, Spouting Rock Capital Advisors, suspended|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Blakely Page (CRD # 2922955) was recently suspended from the securities industry [...]

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Ian Phillip Lowrey Suspended from Securities Industry by FINRA for Churning

Ian Phillip Lowrey Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-06-14T18:21:27-05:00June 14th, 2022|Categories: Churning, Fraud, Securities Law|Tags: AWC, churning, complaint, customer arbitration, customer complaint, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, Ian Lowrey, investigation, Joseph Gunnar, Joseph Gunnar & Co., Phillip, securities, securities industry, Spartan Capital Securities, suspended, unsuitable, Wynston Hill Capital|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Ian Phillip Lowrey (CRD # 6367392) was recently suspended from the securities [...]

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Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-06-13T11:02:49-05:00June 13th, 2022|Categories: Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|Tags: a/k/a, AWC, churning, Craig Scott Capital, customer complaints, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investigation, Joseph Stone Capital, Paul Desir, Paulmery Robert Desir, Richfield Orion International, Rothschild Lieberman LLC, sanction, securities industry, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Palmery Robert Desir, a/k/a Paul Desir (CRD # 5559016) was recently suspended [...]

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