Churning | New York Criminal & Securities Attorney

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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Salvatore Pizzimenti Barred from Securities Industry by FINRA After Trading Investigation

Salvatore Pizzimenti Barred from Securities Industry by FINRA After Trading Investigation

By Kevin J. Deloatch, Esq.|2021-06-15T15:46:40-05:00June 15th, 2021|Tags: arbitration, AWC, bar, barred, breach of contract, breach of fiduciary duty, churning, customer complaint, excessive trading, FINRA, fraud, investigation, J.P. Turner & Company, Legend Securities, misrepresentation, National Securities Corporation, negligence, Pointe Capital, Salvatore Pizzimenti, sanction, securities, securities industry, unsuitability, unsuitable, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Salvatore Pizzimenti (CRD # 2879580) was recently barred from the securities industry by FINRA’s [...]

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Carl George Antaki Suspended by FINRA From Securities Industry For Excessive and Unsuitable Recommendations

Carl George Antaki Suspended by FINRA From Securities Industry For Excessive and Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2021-05-24T11:02:42-05:00May 24th, 2021|Tags: AWC, Carl Antaki, Carl George Antaki, churning, Ehrenkrantz King Nussbaum, Empire Financial Group, excessive trading, fine, fined, FINRA, FINRA investigation, FINRA Rule 2010, FINRA Rule 2111, First Standard Financial Company, Network 1 Financial Securities, Rockwell Global Capital LLC, sanction, securities industry, securities law, suspended, unauthorized trading, unsuitability, unsuitable trading, Weatherly Securities Corporation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Carl George Antaki (CRD # 4177543) was recently suspended from the securities [...]

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