Categories | New York Criminal & Securities Attorney

Joseph Desapio Suspended by FINRA from Securities Industry for Violating Reg BI

Joseph Desapio Suspended by FINRA from Securities Industry for Violating Reg BI

By Kevin J. Deloatch, Esq.|2024-03-11T16:50:34-05:00March 11th, 2024|Categories: Churning, Fraud, Securities Law, Unsuitability|Tags: AWC, best interest, churning, customer complaint, damages, fiduciary duty, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 2111, Have you lost money, investigation, Joseph Desapio, Legend Securities, negligence, Quantitatively unsuitable, recover lost funds, Reg BI, Regulation BI, sales practice violation, securities industry, securities law practice, Spartan Capital Securities, standards of commercial honor, suitability, suspended, suspension, unsuitable recommendations, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joseph Desapio (CRD # 5837553) was recently suspended from the securities industry [...]

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What is Money Laundering Under New York Law? Find Out What You Need to Know

What is Money Laundering Under New York Law? Find Out What You Need to Know

By Kevin J. Deloatch, Esq.|2024-03-09T12:42:17-05:00March 8th, 2024|Categories: Criminal Law, Money Laundering|Tags: 470, 470.05, 470.10, 470.15, 470.20, 470.21, 470.22, 470.23, 470.24, 470.25, Class B, Class E felony, counterfeiting ring, drug sales, human trafficking, illegal, money laundering, New York, NY PL, penalties for money laundering, support of terrorism, what is money laundering|

If you or someone you know has been charged with or is the target of an investigation regarding money laundering under New York law, hiring an [...]

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What is Money Laundering Under Federal Law? Find Out What You Need to Know

What is Money Laundering Under Federal Law? Find Out What You Need to Know

By Kevin J. Deloatch, Esq.|2024-02-22T10:56:56-05:00February 22nd, 2024|Categories: Criminal Law, Money Laundering|Tags: 18 U.S.C., 1956, charged, counterfeiting ring, criminal activity, criminal and securities law, criminal history, criminal law, defense attorney, federal law, financial transactions, fine, human trafficking, illegal drug sales, illicitly obtained funds, investigation, monetary instrument, money laundering, penalties, target|

If you or someone you know has been charged with or are the target of an investigation regarding money laundering under federal law, hiring an experienced [...]

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Have You Been Charged with Harassment or Aggravated Harassment In New York? What’s the Difference?

Have You Been Charged with Harassment or Aggravated Harassment In New York? What’s the Difference?

By Kevin J. Deloatch, Esq.|2024-01-25T09:58:50-05:00January 25th, 2024|Categories: Criminal Law|Tags: 240.25, 240.26, 240.30, 240.31, age, aggravated harassment, arrested, charged, class A misdemeanor, Class E felony, computer, crime, criminal defense attorney, criminal law, felony, first degree, gender, gender identity, harassment, kick, mail, misdemeanor, New York, NY, physical contact, PL, race, religion, religious, second degree, shove, strike, telephone, violation|

Have you been arrested and charged with the crimes of harassment or aggravated harassment in New York? If you have, one of the most, if not [...]

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What is Federal Wire Fraud? Find Out What You Need to Know

What is Federal Wire Fraud? Find Out What You Need to Know

By Kevin J. Deloatch, Esq.|2024-01-19T09:30:03-05:00January 19th, 2024|Categories: Criminal Law|Tags: aggravating circumstance, bank fraud, cable, cell, cellular, criminal defense attorney, email, experience, extensive, false statements, federal crime, Instagram, insurance fraud, intent to defraud, interstate, investigation, know, materially false, mitigating circumstances, phone, radio, securities fraud, sentencing guidlines, signal, Social Media, telephone lines, text messages, Twitter, white collar crime, wire communications, wire fraud, X|

If you or someone you know has been charged with wire fraud or are the target of an investigation, hiring an experienced criminal defense attorney is [...]

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Felipe Henao Vargus Suspended from Securities Industry by FINRA for Unauthorized Discretion

Felipe Henao Vargus Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2024-01-16T14:40:40-05:00December 20th, 2023|Categories: FINRA - Broker Actions, Fraud, Securities Law|Tags: AWC, Bolton Global Capital, customer account, customer complaint, Department of Enforcement, Felipe Henao Vargas, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), fraud, Have you lost money, Insigneo Securities, investigation, Letter of Acceptance Waiver and Consent, Merrill Lynch Pierce Fenner, securities industry, securities law, suspended, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Felipe Henao Vargas (CRD # 5140431) was recently suspended from the securities [...]

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Darren Ting Suspended from Securities Industry by FINRA for Various Sales Practice Violations

Darren Ting Suspended from Securities Industry by FINRA for Various Sales Practice Violations

By Kevin J. Deloatch, Esq.|2023-12-18T12:22:47-05:00December 18th, 2023|Categories: FINRA - Broker Actions, Fraud, Securities Law|Tags: AWC, customer account, customer complaint, Darren Ting, Department of Enforcement, discretionary, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), FINRA Rule 4511, fraud, Have you lost money, J.P.Morgan, Letter of Acceptance Waiver and Consent, Merrill Lynch Pierce Fenner, mismarking order tickets, sales practice violations, securities industry, securities law, securities law practice, suspended, suspension, unauthorized trading, written authorization|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Darren Ting (CRD # 681403) was recently suspended from the securities industry [...]

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Arthur McQuaide Suspended from Securities Industry by FINRA for Churning

Arthur McQuaide Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2023-12-08T15:07:29-05:00December 8th, 2023|Categories: Churning, FINRA - Broker Actions, Fraud, Securities Law|Tags: account, arbitration, Arthur McQuaide, AWC, Caldwell International Securities, churning, complaint, customer, De facto control, Department of Enforcement, excessive trading, excessively trading, FINRA, FINRA Rule 201, FINRA Rule 2111, fraud, Have you lost money, high frequency, Inc., Letter of Acceptance Waiver and Consent, misrepresentation, N.C., Quantitatively unsuitable, securities industry, securities law, Southeast Investments, Spartan Capital Securities, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Arthur Mcquaide (CRD # 4581876) was recently suspended from the securities industry [...]

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Matthew Mierzycki Suspended from Securities Industry by FINRA for Unauthorized Trades

Matthew Mierzycki Suspended from Securities Industry by FINRA for Unauthorized Trades

By Kevin J. Deloatch, Esq.|2023-12-06T08:52:55-05:00December 6th, 2023|Categories: FINRA - Broker Actions, Fraud, Securities Law|Tags: arbitration, AWC, customer account, customer complaint, Department of Enforcement, fine, FINRA, FINRA Rule 1122, FINRA Rule 2010, FINRA Rule 3260(b), fraud, Matthew Mierzycki, sales practice, securities industry, securities practice, suspended, U5, unauthorized trades, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Matthew Mierzycki (CRD # 6102769) was recently suspended from the securities industry [...]

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Christopher Booth Kennedy Barred from Securities Industry by FINRA for Churning

Christopher Booth Kennedy Barred from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2024-01-02T18:29:55-05:00December 2nd, 2023|Categories: Churning, Securities Law|Tags: advisor, arbitration, barred, Booth Kennedy, broker, Christopher Booth Kennedy, Christopher Kennedy, churning, complaint, customer, customer account, Department of Enforcement, excessive trading, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, Order, sales practice, securities industry, securities practice, Spartan Capital Securities, violation, Western International Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christopher Booth Kennedy (CRD # 4498061) was recently barred from the securities [...]

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