Securities Law | New York Criminal & Securities Attorney

The Law Office of Kevin J. Deloatch, Esq. Investigating Pre-IPOs Through Boustead Securities, LLC and Sutter Securities, Inc.

The Law Office of Kevin J. Deloatch, Esq. Investigating Pre-IPOs Through Boustead Securities, LLC and Sutter Securities, Inc.

By Kevin J. Deloatch, Esq.|2026-02-06T09:51:17-05:00January 29th, 2026|Tags: Boustead Securities, conflicts of interest, experience, Financial Industry Regulatory Authority, FINRA, FINRA Rule 2111, fraud, illiquid, initial public offering, investment experience, investment objectives, IPO, IPOs, Pre-IPO, Pre-IPOs, private placement, Reg BI, Regulation Best Interest, regulation D, risk tolerance, SEC, secondary market, Securities Act of 1933, Securities and Exchange Commission, securities fraud, securities practice, suitability, Sutter Securities, unsuitable, unsuitable recommendation|

The Law Office of Kevin J. Deloatch, Esq. is currently investigating the recommended purchases of Pre-IPOs or private placement securities through Boustead Securities, LLC (CRD# 141391) [...]

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FINRA Brings Disciplinary Proceedings Against Sutter Securities Inc. for Reg BI Violation

FINRA Brings Disciplinary Proceedings Against Sutter Securities Inc. for Reg BI Violation

By Kevin J. Deloatch, Esq.|2026-01-26T17:32:04-05:00January 26th, 2026|Tags: AWC, best interest of the customer, censure, churning, complaint, disciplinary proceedings, excessive trading, Exchange Act, Exchange Rule 15, fine, FINRA Department of Enforcement, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3110, fraud, G-37, investigation, Keith Charles Moore, Keith Moore, lost money, MSRB, Municipal Securities Rule Making Board, recover lost funds, Reg BI, Rule 15l-1, sales practice violation, sanction, supervision, supervisory procedures, Sutter Securities, written supervisory procedures, WSP, WSPs|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Sutter Securities, Inc. (CRD # 30770) was recently the subject of a [...]

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James Holmes, III Suspended by FINRA from Securities Industry: Reg BI and Unauthorized Discretion

James Holmes, III Suspended by FINRA from Securities Industry: Reg BI and Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2025-11-28T11:12:48-05:00November 28th, 2025|Tags: acceptance waiver and consent, advisor, AWC, broker, customer complaints, Department of Enforcement, Deutsche Bank Securities, fine, FINRA, FINRA Rule 2010, FINRA Rule 2630, FINRA Rule 3260, FINRA Rule 4511, investigation, James Holmes, Reg BI, Regulation Best Interest, sales practice violation, securities industry, Stephens, suspended, suspension, unauthorized discretion, Wells Fargo Clearing Services|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, James Eugene Holmes, III (CRD # 2174697) was recently suspended from the [...]

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Joseph Kelly Suspended by FINRA from Securities Industry for Reg BI Violation

Joseph Kelly Suspended by FINRA from Securities Industry for Reg BI Violation

By Kevin J. Deloatch, Esq.|2025-12-04T21:40:01-05:00September 24th, 2025|Tags: advisor, award waiver and consent, AWC, best interest, broker, customer, Department of Enforcement, FINRA, investigation, Joseph Kelly, National Securities Corporation, PHX Financial, Reg BI, securities industry, Spartan Capital Securities, suspended, unsuitable, VCS Venture Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Joseph Kelly (CRD # 4560737) was recently suspended from the securities industry by [...]

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Antonio Molinos Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Antonio Molinos Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2025-09-22T17:06:56-05:00September 22nd, 2025|Tags: advisor, Antonio Molinos, arbitration, AWC, best interest, broker, complaint, customer complaint, De facto control, Department of Enforcement, excessive, Exchange Rule 15, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, free consultation, investigation, Joseph Stone Capital, K.C. Ward Financial, Letter of Acceptance Waiver and Consent, lost money, PHX Financials, recommendations, sales practice violation, securities, securities industry, Spartan Capital Securities, standards of commercial honor, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Antonio Molinos (CRD # 2764977) was recently suspended from the securities industry by [...]

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Zachary Ellis Taylor Suspended from Securities Industry by FINRA Unsuitable Recommendations

Zachary Ellis Taylor Suspended from Securities Industry by FINRA Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2025-09-19T14:36:51-05:00September 19th, 2025|Tags: arbitration, AWC, complaint, Department of Enforcement, FINRA, FINRA Rule 2010, FINRA Rule 2360, fraud, Letter of Acceptance Waiver and Consent, lost money, Merrill Lynch, Oppenheimer, Pierce Fenner, sales practice violation, Saxony Securities, securities industry, securities law, suspended, unsuitable, unsuitable recommendation, Wells Fargo Advisors, Zachary Ellis Taylor, Zachary Taylor|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Zachary Ellis Taylor (CRD # 6074776) was recently suspended from the securities industry [...]

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Joseph Warner Rozof Suspended from Securities Industry by FINRA for Unauthorized Discretion

Joseph Warner Rozof Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2025-09-03T11:24:56-05:00September 3rd, 2025|Tags: advisor, arbitration, authorization, award waiver and consent, AWC, broker, brokerage account, churning, CRD # 14178, CRD # 15007, CRD #310046, customer complaint, damages, Department of Enforcement, discretionary trades, experience, extensive, fine, FINRA, FINRA Rule 3260(b), fraud, Harley Capital, investigation, investments, Joseph Warner Rozof, lost money, recover lost funds, Revere Securities, sales practice, securities industry, securities law, suspended, unauthorized discretion, violation, written authorization, written complaint, written supervisory procedures|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joseph Warner Rozof (CRD # 5274784) was recently suspended from the securities [...]

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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|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|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|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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