Categories | New York Criminal & Securities Attorney

Patrick Perugino Suspended from Securities Industry by FINRA for Unauthorized Discretion

Patrick Perugino Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-12-06T13:31:13-05:00December 6th, 2022|Categories: Fraud, Securities Law|Tags: advisor, Allied Millennial Partners, AWC, breach of fiduciary duty, broker, complaint, Craft Capital Management, customer account, customer complaint, David Lerner Associates, Department of Enforcement, discretionary account, Discretionary trading, exercised discretion, failure to supervise, findings, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), fraud, fraudulent activity, investor, losses in your investments, NASD Rule 2510(b), Patrick Perugino, recover lost funds, sales practice violations, sanction, sanctions, SEC, Securities and Exchange Commission, securities industry, securities law, Spartan Capital Securities, suspended, suspension, unauthorized discretion, written authorization, written supervisory procedures, WSP, WSPs|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Patrick Perugino (CRD # 6363411) was recently suspended from the securities industry [...]

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FFEC Wealth Partners LLC Sanctioned by FINRA for Failure to Supervise Regarding Margin and Mutual Funds

FFEC Wealth Partners LLC Sanctioned by FINRA for Failure to Supervise Regarding Margin and Mutual Funds

By Kevin J. Deloatch, Esq.|2022-12-05T16:22:14-05:00December 5th, 2022|Categories: Improper Mutual Fund Sales Practices, Securities Law|Tags: arbitration, AWC, censure, customer complaint, failure to supervise, FFEC Wealth Partners LLC, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, margin, mutual fundss, reasonable diligence, regulatory, sanctioned, written supervisory procedures, WSP, WSPs|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, FFEC Wealth Partners LLC (CRD # 16507) was recently sanctioned by FINRA’s [...]

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Robert Allen Koestler Barred from Securities Industry by FINRA for Failing to Cooperate in Unauthorized Trading Investigation

Robert Allen Koestler Barred from Securities Industry by FINRA for Failing to Cooperate in Unauthorized Trading Investigation

By Kevin J. Deloatch, Esq.|2022-12-01T10:43:25-05:00December 1st, 2022|Categories: FINRA - Broker Actions, Fraud, Securities Law|Tags: Ameriprise Financial Services, AWC, barred, cooperate, customer account, customer complaint, Department of Enforcement, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, LPL Financial, Robert Allen Koestler, Robert Koestler, securities industry, securities law, unauthorized trading|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert Allen Koestler (CRD # 7023515) was recently barred from the securities [...]

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Jesus Manuel Bravo (a/k/a Jesse Bravo) Suspended from Securities Industry by FINRA for Churning

Jesus Manuel Bravo (a/k/a Jesse Bravo) Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-11-25T11:17:35-05:00November 25th, 2022|Categories: Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|Tags: advisor, arbitration, AWC, broker, CBC Securities, churning, customer account, customer complaint, Department of Enforcement, DMK Advisor Group, excessive, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investigation, Jesse Bravo, Jesus Bravo, Jesus Manuel Bravo, Joseph Stone Capital, Law Office, Manuel, restitution, securities, securities industry, securities law, Solomon Whitney LLC, suspended, suspension, unsuitability, unsuitable, Unsuitably|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Jesus Manuel Bravo (a/k/a Jesse Bravo) (CRD # 2838164) was recently suspended from [...]

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David Lau Suspended from Securities Industry by FINRA for Unauthorized Discretion

David Lau Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-11-21T16:04:07-05:00November 21st, 2022|Categories: FINRA - Broker Actions, Fraud, Securities Law|Tags: arbitration, AWC, complaint, customer account, David Lau, Department of Enforcement, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260, FINRA Rule 3260(b), fraud, lost funds, Morgan Stanley, sanction, securities industry, suspended, unauthorized discretion, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, David Lau (CRD # 4567411) was recently suspended from the securities industry [...]

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Boustead Securities, LLC Sanctioned by FINRA After Investigation Regarding Supervisory System and Private Placements

Boustead Securities, LLC Sanctioned by FINRA After Investigation Regarding Supervisory System and Private Placements

By Kevin J. Deloatch, Esq.|2022-11-16T16:23:23-05:00November 16th, 2022|Categories: Fraud, Private Placements, Securities Law, Unsuitability|Tags: acceptance waiver and consent, accredited investor, AWC, Boustead Securities, censure, customer, customer complaint, Department of Enforcement, fine, fined, FINRA, FINRA 2210, FINRA Rule 2111, FINRA Rule 3110, FINRA Rule 4512, FINRA Rule 5510, fraud, investigation, issuer, offering, participation, private placement, private placements, questionnaire, sanction, sanctioned, securities law, subscription agreement, supervisory system, violated, written supervisory procedures|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Boustead Securities, LLC (CRD # 141391) was recently sanctioned by FINRA’s Department [...]

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Michael “Mike” Joseph Lancaster Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Michael “Mike” Joseph Lancaster Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2022-11-15T13:33:31-05:00November 15th, 2022|Categories: FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|Tags: acceptance waiver and consent, arbitration, AWC, Capital Analysts, customer account, customer complaint, Department of Enforcement, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, IFP Securities, investigation, Joseph, Lancaster, LPL Financial, Michael Lancaster, Mike Lancaster, NASD Rule 2310, NFP Securities, sales practice, sales practice violation, securities, securities industry, securities law, suitability, suspended, unsuitability, unsuitable recommendation, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Michael “Mike” Joseph Lancaster (CRD # 1353552) was recently suspended from the [...]

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M B “Mickey” Schreiber Suspended from Securities Industry by FINRA After Unauthorized Discretion Investigation

M B “Mickey” Schreiber Suspended from Securities Industry by FINRA After Unauthorized Discretion Investigation

By Kevin J. Deloatch, Esq.|2022-11-10T21:52:11-05:00November 10th, 2022|Categories: FINRA - Broker Actions, Fraud, Securities Law|Tags: Aegis Capital Corp, arbitration, AWC, breach of contract, churning, Concord Equity Group, customer account, customer complaint, Department of Enforcement, discretionary trades, exercised, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), FINRA Rule 4511, fraud, investigation, M. B. Schreiber, Mickey Schreiber, misrepresentation, NASD Rule 2510(b), National Securities Corporation, negligence, Newbridge Securities Corporation, omission of material facts, sales practice, securities industry, securities law, securities law practice, Summit Brokerage Services, suspended, suspension, unauthorized discretion, unsuitability, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, M B “Mickey” Schreiber (CRD # 1032600) was recently suspended from the [...]

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Christopher “Chris” Shaw Suspended from Securities Industry by FINRA for Unauthorized Discretion

Christopher “Chris” Shaw Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-11-09T14:26:18-05:00November 9th, 2022|Categories: FINRA - Broker Actions, Fraud, Securities Law|Tags: authority, AWC, breach of contract, breach of fiduciary duty, Chris Shaw, Christopher, Christopher Shaw, customer account, Department of Enforcement, discretion, discretionary, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), fraud, Kalos Management, negligence, Newbridge Financial Services Group, Newbridge Securities Corporation, Pruco Securities, sanction, securities industry, Shaw, suspended, unauthorized, unauthorized discretion, unsuitable recommendation, violated, written authorization|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christopher John Shaw, a/k/a Chris Shaw (CRD # 5011382) was recently suspended [...]

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Christopher Polinaire Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

Christopher Polinaire Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

By Kevin J. Deloatch, Esq.|2022-11-06T19:00:31-05:00November 6th, 2022|Categories: Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|Tags: advisor, Alexander, Arive Capital Markets, AWC, broker, Christopher Polinaire, churning, customer accounts, Department of Enforcement, excessive, excessively, fine, fined, FINRA, FINRA Department of Enforcement, FINRA Rule 2010, FINRA Rule 2111, First Standard Financial Company, fraud, investigation, Network 1 Financial Securities, sanction, securities, securities industry, securities law, suitability, suspended, trading, unsuitable, Unsuitably, violations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Christopher Alexander Polinaire (CRD # 4330879) was recently suspended from the securities [...]

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