Categories | New York Criminal & Securities Attorney

Jeremy Jefferson Jacobson Suspended from Securities Industry by FINRA for Unauthorized Trades

Jeremy Jefferson Jacobson Suspended from Securities Industry by FINRA for Unauthorized Trades

By Kevin J. Deloatch, Esq.|2023-06-07T09:38:17-05:00June 7th, 2023|Categories: FINRA - Broker Actions, Fraud, Securities Law|Tags: AWC, brokerage account, brokerage firm, customer account, customer complaint, Department of Enforcement, fine, FINRA, FINRA Rule 2010, fraud, investigation, investments, Jeremy Jefferson Jacobson, lost money, LPL Financial, Morgan Keegan, Raymond James, sales practice violation, securities industry, suspended, unauthorized trades|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Jeremy Jefferson, Jacobson (CRD # 4437801) was recently suspended from the securities [...]

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Shahab TagnaviDinani Suspended by FINRA from Securities Industry for Unauthorized Trading

Shahab TagnaviDinani Suspended by FINRA from Securities Industry for Unauthorized Trading

By Kevin J. Deloatch, Esq.|2023-05-05T08:26:42-05:00May 5th, 2023|Categories: FINRA - Broker Actions, Fraud, Securities Law|Tags: AWC, brokerage account, customer complaint, Department of Enforcement, FINRA, FINRA Rule 2010, fraud, investigation, investments, lost money, Park Avenue Securities, sales practice violation, securities industry, Shahab TagnaviDinani, Sovereign Global Advisors, suspended, The (Wilson) Williams Financial Group, unauthorized trading, Union Capital Company|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Shahab TagnaviDinani (CRD # 2503652) was recently suspended from the securities industry [...]

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Edward Scott Short Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

Edward Scott Short Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

By Kevin J. Deloatch, Esq.|2023-04-17T11:47:15-05:00April 17th, 2023|Categories: Churning, Securities Law|Tags: arbitration, AWC, best interest, churning, customer accounts, customer complaint, damages, Edward Scott Short, Ehrenkrantz King Nussbaum, EKN Financial Services, excessive, FINRA, FINRA Department of Enforcement, FINRA Rule 2010, FINRA Rule 2111, fraud, Laidlaw & Company, Letter of Acceptance Waiver and Consent, Reg BI, Rule 15I-1, securities industry, settled, suspended, Tasin & Company, trading, unsuitable, Weatherly Securities Corporation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Edward Scott Short (CRD # 2462752) was recently suspended from the securities [...]

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Lon Charles Faccini Suspended from Securities Industry by FINRA for Churning

Lon Charles Faccini Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2023-04-16T12:04:58-05:00April 16th, 2023|Categories: Churning, FINRA - Broker Actions, Fraud, Misrepresentation, Securities Law, Unsuitability|Tags: arbitration, Arrive Capital Markets, award, AWC, breach of fiduciary duty, Cape Securities, churning, customer complaint, Department of Enforcement, excessive, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Letter of Acceptance Waiver and Consent, Liberty Partners Financial Services, Lon Charles Faccini, misrepresentation, negligent, securities industry, settled, suspended, trading, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Lon Charles Faccini, Jr. (a/k/a Lon Charles Faccini) (CRD # 2736849) was [...]

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Gary Goldberg Suspended by FINRA from Securities Industry for Unsuitable Recommendations

Gary Goldberg Suspended by FINRA from Securities Industry for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2023-04-13T10:31:24-05:00April 13th, 2023|Categories: FINRA - Broker Actions, Securities Law, Unsuitability|Tags: arbitration, AWC, Bruderman Brothers LLC, customer complaint, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 2330, fraud, Gary Goldberg, Gary Mark Goldberg, Letter of Acceptance Waiver and Consent, Newbridge Securities Corporation, securities industry, suspended, unsuitable recommendation, variable annuities, variable annuity|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Gary Mark Goldberg (CRD # 223919) was recently suspended from the securities [...]

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Jose Candelario Padilla Suspended by FINRA from Securities Industry for Unsuitable Recommendations

Jose Candelario Padilla Suspended by FINRA from Securities Industry for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2023-04-12T10:10:26-05:00April 12th, 2023|Categories: FINRA - Broker Actions, Securities Law, Unsuitability|Tags: AWC, best interest, customer, customer complaint arbitration, ETF, exchange traded funds, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, Jose Candelario, Jose Candelario Padilla, Letter of Acceptance Waiver and Consent, leveraged and inverse, Nationwide Planning Associates, NPA Management, NT-ETF, Oriental Financial Services Corp, securities industry, suspended, unsuitable recommendation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Jose Candelario Padilla (a/k/a Jose Candelario) (CRD # 4847560) was recently suspended [...]

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Dana Davis Suspended from Securities Industry by FINRA for Unsuitable Margin Recommendations

Dana Davis Suspended from Securities Industry by FINRA for Unsuitable Margin Recommendations

By Kevin J. Deloatch, Esq.|2023-04-12T09:35:48-05:00April 10th, 2023|Categories: Fraud, Securities Law, Unsuitability|Tags: Alexander Capital, arbitration, AWC, commission, customer complaint, Dana Davis, excessive trading, fiduciary duty, FINRA, FINRA Rule 2010, FINRA Rule 2111, First Montauk Securities, Letter of Acceptance Waiver and Consent, margin, misrepresentation, negligence, Newbridge Securities Corporation, omission, overconcentratoin, recommendation, securities industry, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Dana Davis (CRD # 1707708) was recently suspended from the securities industry [...]

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Moloney Securities Sanctioned by FINRA for Its Sales of GPB Capital Holdings to Customers

Moloney Securities Sanctioned by FINRA for Its Sales of GPB Capital Holdings to Customers

By Kevin J. Deloatch, Esq.|2022-12-28T18:00:02-05:00December 28th, 2022|Categories: Markets and Products, Misrepresentation, Securities Law|Tags: Advisors Act, arbitration, audited financial statements, automotive portfolio, AWC, censure, churning, concentration, customer complaint, customers, Department of Enforcement, failure to supervise, FINRA, FINRA Rule 2010, fraud, GPB Capital, GPB Capital Holdings, high-risk products, Holdings II, investigation, lost money, misrepresentation, Moloney Securities, negligence, regulatory action, sales, sales practice, sanctioned, SEC, securities industry, settlement, suitability, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Moloney Securities Co., Inc. (CRD # 38535) was recently sanctioned by FINRA’s [...]

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Leonid Yurovsky Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

Leonid Yurovsky Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

By Kevin J. Deloatch, Esq.|2022-12-28T11:56:55-05:00December 27th, 2022|Categories: Churning, FINRA - Broker Actions, Fraud, Securities Law|Tags: arbitration, AWC, churning, commissions, customer account, customer complaint, Department of Enforcement, excessive, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investor, Joseph Stone Capital, Law Office, Leonid Yurovsky, lost money, misrepresentation, National Securities Corporation, PHX Financials, recommended, sales practice violation, securities industry, securities law, settled, suspended, trading, transactions, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Leonid Yurovsky (CRD # 4554905) was recently suspended from the securities industry [...]

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Coastal Equities, Inc. Sanctioned by FINRA for Its Sales of GPB Capital Holdings, LLC and Failure to Supervise

Coastal Equities, Inc. Sanctioned by FINRA for Its Sales of GPB Capital Holdings, LLC and Failure to Supervise

By Kevin J. Deloatch, Esq.|2022-12-28T12:00:09-05:00December 20th, 2022|Categories: Fraud, Markets and Products, Securities Law, Unsuitability|Tags: audited financial statements, automotive portfolio, AWC, broker, broker-dealer, censure, Coastal Equities, customer account, Department of Enforcement, excessive, failure to supervise, fine, FINRA, FINRA Rule 2010, FINRA Rule 3110, GPB Capital Holdings, Holdings II, introducing broker, investigate, investigation, investor, limited partnership, material information, NASD Rule 3010, red flag, red flags, registered representative, regulatory, restitution, sanction, SEC, Securities and Exchange Commission, unsuitable, written supervisory procedures|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that introducing broker-dealer, Coastal Equities, Inc. (CRD # 23769) was recently sanctioned by FINRA’s [...]

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