Categories | New York Criminal & Securities Attorney

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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Donald Fowler Barred from Securities Industry by FINRA for Churning and Fraud

Donald Fowler Barred from Securities Industry by FINRA for Churning and Fraud

By Kevin J. Deloatch, Esq.|2021-08-26T13:07:24-05:00August 26th, 2021|Categories: Churning, FINRA - Broker Actions, Fraud, Securities Law|Tags: American Capital Partners LLC, arbitration, AWC, bar, barred, breach of fiduciary duty, broker, churning, customer accounts, customer complaint, Department of Enforcement, Donald Fowler, excessive trading, excessively trading, Exchange Act, fiduciary duty, FINRA, FINRA Rule, FINRA Rule 2010, FINRA Rule 2020, FINRA Rule 2111, former broker, fraud, J.D. Nicholas & Associates, misrepresentation, negligence, Rule 10b-5, sanction, Section 10(b), securities industry, unauthorized trading, unsuitable, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that former broker, Donald Fowler (CRD # 4989632) was recently barred from the securities [...]

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Alfonse Stazzone Suspended from Securities Industry by FINRA for Excessively Trading Customer Account

Alfonse Stazzone Suspended from Securities Industry by FINRA for Excessively Trading Customer Account

By Kevin J. Deloatch, Esq.|2021-08-23T14:49:59-05:00August 23rd, 2021|Categories: Churning, FINRA - Broker Actions, Securities Law, Unsuitability|Tags: Alfonse Joseph Stazzone, Alfonse Stazzone, arbitration, AWC, breach of contract, churning, customer account, customer complaint, Department of Enforcement, excessively trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Garden State Securities, Monmouth Capital Management LLC, Quantitatively unsuitable, securities industry, suspended, unsuitable, Woodstock Financial Group|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Alfonse Joseph Stazzone (CRD # 4908107) was recently suspended from the securities industry [...]

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Matthew Clason Barred from Securities Industry by SEC After Pleading Guilty to Criminal Conduct

Matthew Clason Barred from Securities Industry by SEC After Pleading Guilty to Criminal Conduct

By Kevin J. Deloatch, Esq.|2021-08-22T07:02:35-05:00August 21st, 2021|Categories: Fraud, Securities Law|Tags: adviser, advisor, barred, broker, Criminal conduct, FINRA, guilty plea, Integrated Wealth Concepts LLC, Lincoln Financial Advisors, LPL Financial, Matthew Clason, pleading guilty, sanction, sanctioned, SEC, securities industry|

Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against broker/investment advisor, Matthew O. Clason (CRD # [...]

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Maxim Beliakov Suspended from The Securities Industry by FINRA for Churning

Maxim Beliakov Suspended from The Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2021-08-18T10:31:31-05:00August 18th, 2021|Categories: Churning, FINRA - Broker Actions, Securities Law, Unsuitability|Tags: AWC, broker, Chelsea Financial Services, churning, customer account, customer complaint, Department of Enforcement, excessive and unsuitable, excessively traded, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Garden State Securities, Maxim Beliakov, Quantitatively unsuitable, securities industry, suspended, unsuitability, unsuitable, Unsuitably, Woodstock Financial Group|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Maxim Beliakov (CRD # 5968432) was recently suspended from the securities industry by [...]

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John Cangialosi Suspended from Securities Industry by FINRA for Churning

John Cangialosi Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2021-08-16T10:29:26-05:00August 16th, 2021|Categories: FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|Tags: AWC, broker, churning, customer accounts, customer complaints, Department of Enforcement, excessively, excessively trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, John Cangialosi, John Sebastian Cangialosi, misrepresentation, negligence, securities industry, suitability, suspended, traded, unauthorized trading, unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John Sebastian Cangialosi (CRD # 3273830) was recently suspended from the securities industry [...]

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Henry Bones, II Suspended from Securities Industry by FINRA for Failure to Reasonably Supervise Broker for Churning

Henry Bones, II Suspended from Securities Industry by FINRA for Failure to Reasonably Supervise Broker for Churning

By Kevin J. Deloatch, Esq.|2021-08-15T12:56:26-05:00August 15th, 2021|Categories: Uncategorized|Tags: AWC, broker, Churned, churning, customer account, customer accounts, Department of Enforcement, excessively traded, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, fraud, Henry Bones, Joseph Gunnar, Joseph Gunnar & Co. LLC, Legend Securities, Reasonably supervise, sanction, sanctioned, securities industry, suitability, supervisor, suspended, SW Financial, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/supervisor, Henry Bones, II (CRD # 4673109) was recently suspended from the securities industry [...]

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Jason Seale, III Suspended from Securities Industry by FINRA for Using Unauthorized Discretion

Jason Seale, III Suspended from Securities Industry by FINRA for Using Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2021-08-15T10:32:52-05:00August 14th, 2021|Categories: FINRA - Broker Actions, Fraud, Securities Law|Tags: adviser, AWC, broker, customer account, customer complaint, Department of Enforcement, Discretionary trading, fine, fined, FINRA, FINRA Rule 2010, Jason Lee Seale, Jason Seale, NASD Rule 2510(b), sanction, securities industry, suspended, suspension, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser, Jason Lee Seale, III (CRD # 1874548) was recently suspended from the securities [...]

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Matthew Perry Barred by FINRA from Securities Industry After Refusing to Cooperate In Options Trading Investigation

Matthew Perry Barred by FINRA from Securities Industry After Refusing to Cooperate In Options Trading Investigation

By Kevin J. Deloatch, Esq.|2021-08-12T19:52:14-05:00August 12th, 2021|Categories: FINRA - Broker Actions, Markets and Products|Tags: Alex Perry, Alexander, AWC, bar, barred, customer accounts, customer complaint, Department of Enforcement, failure to cooperate, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, Matthew Perry, options, Options trading, refusing to cooperate, securities industry, settled, Stifel Nicolaus, terminated, U4, U5, unauthorized, unsuitable securities, wells fargo, Wells Fargo Advisors|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that now former broker/investment adviser, Matthew Alexander Perry (Alex Perry) (CRD # 5985300) was recently [...]

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