Churning | New York Criminal & Securities Attorney

John LoPinto Suspended from Securities Industry by FINRA for Excessive Trading

John LoPinto Suspended from Securities Industry by FINRA for Excessive Trading

By Kevin J. Deloatch, Esq.|2022-01-21T11:36:44-05:00January 21st, 2022|Tags: arbitration, AWC, breach of contract, breach of fiduciary duty, churning, customer account, customer complaint, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, investigation, J.P. Turner, John LoPinto, Legend Securities, Michael, misrepresentation, National Securities Corporation, negligence, Quantitatively unsuitable, securities industry, suitability, suspended, unsuitable, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John LoPinto (CRD # 4563735) was recently suspended from the securities industry by [...]

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Adam Maggio Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

Adam Maggio Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

By Kevin J. Deloatch, Esq.|2022-01-27T21:47:27-05:00December 13th, 2021|Tags: Adam Maggio, All principal capacities, AWC, breach of fiduciary duty, Brundyn Securities, customer accounts, customer complaint, Department of Enforcement, Excessive activity, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, First Midwest Securities, fraud, J.P. Turner & Company, Joseph Stone Capital, misrepresentation, negligence, Reasonably supervise, red flags, sales practice violations, securities industry, suspended, unauthorized trading, unsuitability, VCS Venture Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Adam Maggio (CRD # 4177365) was recently suspended from all principal capacities in [...]

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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|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|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|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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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|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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FINRA Commenced Disciplinary Proceedings Against Daniel O’Neill for Churning

FINRA Commenced Disciplinary Proceedings Against Daniel O’Neill for Churning

By Kevin J. Deloatch, Esq.|2021-08-01T09:37:00-05:00July 31st, 2021|Tags: Aegis Capital Corp, churning, customer account, customer complaint, Daniel O’Neill, Department of Enforcement, disciplinary proceedings, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Ladenburg Thalmann, Maxim Group LLC, Office of Hearing Officers, Quantitatively unsuitable, short term trading, Short-term, unauthorized, unauthorized trading, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that the FINRA Department of Enforcement recently commenced disciplinary proceedings against broker, Daniel O’Neill [...]

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Christopher Orlando Barred from Securities Industry by FINRA for Churning

Christopher Orlando Barred from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2021-07-30T07:56:19-05:00July 30th, 2021|Tags: arbitration, AWC, bar, barred, broker, Christopher George Orlando, Christopher Orlando, churning, customer account, customer complaint, customer complaints, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, misrepresentation, Quantitatively unsuitable, securities industry, Spartan Capital Securities, St. Bernard Financial Services, suitability, unsuitablity, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Christopher George Orlando (CRD # 4136262) was recently barred from the securities industry [...]

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Gary Bowman Suspended from Securities Industry by FINRA for Unsuitable Short-Term Trading of UITs

Gary Bowman Suspended from Securities Industry by FINRA for Unsuitable Short-Term Trading of UITs

By Kevin J. Deloatch, Esq.|2021-07-14T13:25:24-05:00July 14th, 2021|Tags: adviser, Arque Capital, Bowman Financial Services, broker, churning, customer account, customer complaint, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, Gary Bowman, investigation, investment adviser, Max, SagePoint Financial, sanction, sanctioned, securities industry, short term trading, stockbroker, suspended, UIT, unit investment trust, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser, Gary Max Bowman (CRD # 2035699) was recently suspended from the securities [...]

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Douglas Szempruch Suspended from Securities Industry by FINRA for Churning and Unauthorized Discretion

Douglas Szempruch Suspended from Securities Industry by FINRA for Churning and Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2021-07-13T17:53:45-05:00July 13th, 2021|Tags: Aegis Capital Corp, AWC, Bach & Company, churning, Douglas Szempruch, fine, fined, FINRA, FINRA 2210, FINRA Rule 2010, FINRA Rule 2111, Global Arena Capital Corp, investigation, NASD Rule 2510(b), Prestige Financial Center, sanction, sanctioned, securities industry, suspended, unauthorized discretion, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Douglas Edward Szempruch (CRD # 4159318) was recently suspended from the securities industry [...]

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