Categories | New York Criminal & Securities Attorney

Western International Securities, Inc. Sanctioned by FINRA For Failure to Supervise

Western International Securities, Inc. Sanctioned by FINRA For Failure to Supervise

By Kevin J. Deloatch, Esq.|2024-09-07T09:03:12-05:00September 7th, 2024|Categories: Securities Law|Tags: arbitration, AWC, breach of contract, breach of fiduciary duty, censure, churning, customer complaint, Department of Enforcement, excessive trading, extensive securities law practice, failure, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3110, fraud, Have you lost money, investigation, misrepresentation, reasonably designed, recover lost funds, regulatory action, restitution, sales practice, sanctioned, suitability, supervisory system, unauthorized trading, violation, Western International Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Western International Securities, Inc. (CRD # 39262) was recently sanctioned by FINRA’s [...]

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Glenn Bridwell, Jr. Suspended From Securities Industry by FINRA for Unauthorized Discretion

Glenn Bridwell, Jr. Suspended From Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2024-09-07T08:34:08-05:00September 7th, 2024|Categories: Fraud, Securities Law|Tags: arbitration, award waiver and consent, AWC, customer complaint, Department of Enforcement, FBL Marketing Services, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), fraud, Glenn Bridwell, Have you lost money, sales practice violation, sanction, securities industry, securities law practice, suspended, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Glenn Bridwell, Jr. (CRD # 1783191) was recently suspended from the securities [...]

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Craig Sherman Thistlethwaite Suspended from Securities Industry by FINRA for Unauthorized Discretion

Craig Sherman Thistlethwaite Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2024-07-28T10:34:25-05:00July 28th, 2024|Categories: FINRA - Broker Actions, Securities Law|Tags: arbitration, arbitration panel, award, AWC, breach of fiduciary duty, brokerage account, Citigroup Global Markets, Craig Sherman Thistlethwaite, customer complaint, damages, Department of Enforcement, failure to supervise, fine, FINRA, FINRA Rule 2010, FINRA Rule 2510(b), FINRA Rule 3260(b), FINRA Rule 4511, fraud, Have you lost money, investigation, Letter of Acceptance Waiver and Consent, McDonald Investments, Morgan Stanley, negligence, sales practice, securities industry, securities law practice, suspended, suspension, unauthorized discretion, unsuitability, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Craig Sherman Thistlethwaite (CRD # 2507050) was recently suspended from the securities [...]

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The Jeffrey Matthews Financial Group, L.L.C. Sanctioned by FINRA for Reg BI Violation

The Jeffrey Matthews Financial Group, L.L.C. Sanctioned by FINRA for Reg BI Violation

By Kevin J. Deloatch, Esq.|2024-07-26T09:32:17-05:00July 26th, 2024|Categories: Conflicts of Interest, Securities Law|Tags: arbitration, AWC, censure, compliance, customer complaint, Department of Enforcement, enforce, establish, failure, fine, FINRA, FINRA Rule 2010, FINRA Rule 3110, fraud, Have you lost money, investigation, Jeffrey Matthews, JMFG, misrepresentation, MSRB, policies, reasonably designed, recover lost funds, Reg BI, Regulation Best Interest, sales practice violation, sanctioned, securities exchange act, securities law practice, suitability, The Jeffrey Matthews Financial Group, violation, WSP, WSPs|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, The Jeffrey Matthews Financial Group, L.L.C. (CRD # 41282) was recently sanctioned [...]

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Yong Soo Kim and Kayan Securities, Inc. Sanctioned by FINRA for Failure to Supervise and Reg BI Violations

Yong Soo Kim and Kayan Securities, Inc. Sanctioned by FINRA for Failure to Supervise and Reg BI Violations

By Kevin J. Deloatch, Esq.|2024-05-29T11:29:25-05:00May 29th, 2024|Categories: Churning, Conflicts of Interest, FINRA - Broker Actions, Securities Law, Unsuitability|Tags: arbitration, AWC, censure, churning, compliance, customer account, customer complaint, damages, Department of Enforcement, ETECH Securities, excessive trading, failure to supervise, fiduciary duty, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3110, fraud, HANMI Securities, Have you lost money, Inc., investigation, Kayan Securities, Letter of Acceptance Waiver and Consent, MITAA Global Securities, NASD Rule 1220(b), NASD Rule 2110, negligence, recover lost funds, Reg BI, Regulation BI, regulatory action, restitution, Rule 15I-1, sales practice violations, sanctioned, Securities Exchange Act of 1934, securities industry, securities law, securities law practice, suitability, suspension, trading, unauthorized, written supervisory procedures, WSP, Yong Soo Kim|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Yong Soo Kim (CRD # 1747849) and broker, Kayan Securities, Inc. (CRD [...]

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Alan Mason Suspended from Securities Industry by FINRA for Regulation BI Violation

Alan Mason Suspended from Securities Industry by FINRA for Regulation BI Violation

By Kevin J. Deloatch, Esq.|2024-06-06T11:20:20-05:00May 27th, 2024|Categories: Conflicts of Interest, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|Tags: Alan Mason, alleged damages, arbitration, AWC, Bradley Woods, concentration, customer account, customer complaint, customer-inititiated, Department of Enforcement, disgorgement, fine, FINRA, FINRA Rule 2010, fraud, Gruntal, Gunnallen Financial, Have you lost money, investigation, investment, Letter of Acceptance Waiver and Consent, recover lost funds, Reg BI, Regulation Best Interest, Regulation BI, sales practice, sales practice violation, securities exchange act, Securities Exchange Act of 1934, securities industry, securities law, securities law practice, suspended, unauthorized transactions, unsuitability, unsuitable recommendation, WestPark Capital, Wilmington Capital|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Alan Mason (CRD # 1302190) was recently suspended from the securities industry [...]

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Arive Capital Markets Sanctioned by FINRA for Failure to Supervise

Arive Capital Markets Sanctioned by FINRA for Failure to Supervise

By Kevin J. Deloatch, Esq.|2024-05-22T16:05:59-05:00May 22nd, 2024|Categories: Churning, Fraud, Securities Law, Unsuitability|Tags: Arive Capital Markets, attorney, AWC, customer, Department of Enforcement, excessive trading, extensive, failure to supervise, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3110, fraud, losses in investments, lost money with Arive Capital Markets, recommendation, recover lost funds, regulatory action, sales practice violation, sanctioned, securities practice, suitability, WSP|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Arive Capital Markets (CRD # 8060) was recently sanctioned by FINRA’s Department [...]

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Christopher Joseph McCoy Suspended from Securities Industry By FINRA for Unauthorized Discretion

Christopher Joseph McCoy Suspended from Securities Industry By FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2024-05-06T12:54:07-05:00May 6th, 2024|Categories: Fraud, Securities Law|Tags: advisor, arbitration, AWC, breach of fiduciary duty, broker, brokerage account, Calton Associates, Christopher McCoy, customer complaint, Financial Network Investments Corporation, fine, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 3260, First Republic Group, Have you lost money, investigation, Joseph, NASD Rule 2510, negligence, sales practice violation, securities industry, securities law practice, suspended, unauthorized discretion, unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christopher Joseph McCoy (CRD # 4113108) was recently suspended from the securities [...]

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Have You Been Arrested and Charged with Burglary In New York While Protesting?

Have You Been Arrested and Charged with Burglary In New York While Protesting?

By Kevin J. Deloatch, Esq.|2024-05-05T08:49:49-05:00May 1st, 2024|Categories: Burglary, Criminal Law|Tags: arrested, arson, assault, burglary, charged, charged with a crime, Class B, Class C, Class D, criminal defense attorney, criminal mischief, dangerous weapon, demonstration, demonstrator, felony, first degree, Israel, New York, Palestine, physical injury, PL 140.20, PL 140.25, PL 140.30, protest, protesting, second degree, theft, third degree|

Have you or someone you know recently been arrested and charged with burglary in New York while protesting? Despite what you may already think you know [...]

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Larry Michaels Suspended by FINRA From Securities Industry for Unauthorized Discretion

Larry Michaels Suspended by FINRA From Securities Industry for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2024-05-05T20:05:42-05:00April 30th, 2024|Categories: Securities Law|Tags: account, arbitration, AWC, complaint, criminal and securities law, Crown Capital Securities, customer, Department of Enforcement, discretionary authority, fine, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 3260, FINRA Rule 3270, fraud, Have you lost money, investigation, J.P. Turner, Larry Michaels, Legacy Advisory Group, outside business activity, sales practice violation, securities industry, securities law, securities law practice, suspended, suspension, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Larry Michaels (CRD # 4351477) was recently suspended from the securities industry [...]

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