Churning | New York Criminal & Securities Attorney

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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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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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|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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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|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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Joseph Desapio Suspended by FINRA from Securities Industry for Violating Reg BI

Joseph Desapio Suspended by FINRA from Securities Industry for Violating Reg BI

By Kevin J. Deloatch, Esq.|2024-03-11T16:50:34-05:00March 11th, 2024|Tags: AWC, best interest, churning, customer complaint, damages, fiduciary duty, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 2111, Have you lost money, investigation, Joseph Desapio, Legend Securities, negligence, Quantitatively unsuitable, recover lost funds, Reg BI, Regulation BI, sales practice violation, securities industry, securities law practice, Spartan Capital Securities, standards of commercial honor, suitability, suspended, suspension, unsuitable recommendations, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joseph Desapio (CRD # 5837553) was recently suspended from the securities industry [...]

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Arthur McQuaide Suspended from Securities Industry by FINRA for Churning

Arthur McQuaide Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2023-12-08T15:07:29-05:00December 8th, 2023|Tags: account, arbitration, Arthur McQuaide, AWC, Caldwell International Securities, churning, complaint, customer, De facto control, Department of Enforcement, excessive trading, excessively trading, FINRA, FINRA Rule 201, FINRA Rule 2111, fraud, Have you lost money, high frequency, Inc., Letter of Acceptance Waiver and Consent, misrepresentation, N.C., Quantitatively unsuitable, securities industry, securities law, Southeast Investments, Spartan Capital Securities, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Arthur Mcquaide (CRD # 4581876) was recently suspended from the securities industry [...]

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Christopher Booth Kennedy Barred from Securities Industry by FINRA for Churning

Christopher Booth Kennedy Barred from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2024-01-02T18:29:55-05:00December 2nd, 2023|Tags: advisor, arbitration, barred, Booth Kennedy, broker, Christopher Booth Kennedy, Christopher Kennedy, churning, complaint, customer, customer account, Department of Enforcement, excessive trading, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, Order, sales practice, securities industry, securities practice, Spartan Capital Securities, violation, Western International Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christopher Booth Kennedy (CRD # 4498061) was recently barred from the securities [...]

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Raymond William Clark Barred from Securities Industry by FINRA After Investigation

Raymond William Clark Barred from Securities Industry by FINRA After Investigation

By Kevin J. Deloatch, Esq.|2023-08-19T07:57:03-05:00August 19th, 2023|Tags: Alexander Capital, arbitration, AWC, barr, barred, breach of fiduciary duty, churning, customer complaint, damages, excessive trading, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 8210, fraud, Garden State Securities, Grayson Financial LLC, Have you lost money, investigation, investments, J.P. Turner, misrepresntation, Monmouth Capital Management LLC, negligence, Raymond William Clark, sales practice violation, securities industry, unauthorized trading, unsuitable securities, written complaint|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA), indicate that broker/advisor, Raymond William Clark (CRD # 2865619) was recently barred from the securities [...]

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Douglas Blake Solinsky Suspended by FINRA from Securities Industry for Excessive Unsuitable Trading

Douglas Blake Solinsky Suspended by FINRA from Securities Industry for Excessive Unsuitable Trading

By Kevin J. Deloatch, Esq.|2023-07-02T08:52:44-05:00July 2nd, 2023|Tags: allegation, arbitration, AWC, Benchmark Investments, Blake, brokerage account, Cape Securities Inc., churning, commissions, customer complaint, damages, Department of Enforcement, Douglas, Douglas Blake Solinsky, excessive, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Have you lost money, investigation, investments, Kingswood Capital Partners, law practice, Letter of Acceptance Waiver and Consent, losses, lost money, negligent, Newbridge Securities Corporation, recommendation, recover lost funds, restitution, sales practice violations, securities industry, Solinsky, suitability, suspended, trading, unsuitable, wall street|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Douglas Blake Solinsky (CRD # 4715268) was recently suspended from the securities [...]

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