Conflicts of Interest | New York Criminal & Securities Attorney

FINRA Suspends William Morris from Securities Industry After Reg BI Investigation

FINRA Suspends William Morris from Securities Industry After Reg BI Investigation

By Kevin J. Deloatch, Esq.|2026-04-15T17:30:36-05:00April 15th, 2026|Tags: Associates, AWC, brokerage account, Calton, Cape Securities, customer complaint, Department of Enforcement, FINRA, FINRA Rule 2010, fraud, GWG, investigation, KCD Financial, KCD Financial Inc., L Bonds, lost money, negligencce, Reg BI, Regulation Best Interest, sales practice violations, securities industry, securities law, suspended, violation, William Morris|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, William Morris (CRD # 1793507) was recently suspended from the securities industry [...]

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Frederick Hohensee Suspended From Securities Industry by FINRA For Reg BI Violation

Frederick Hohensee Suspended From Securities Industry by FINRA For Reg BI Violation

By Kevin J. Deloatch, Esq.|2026-04-15T08:21:23-05:00April 15th, 2026|Tags: arbitration, award waiver and consent, AWC, complaint, customer complaint, Department of Enforcement, Exchange Act Rule 15l, Financial Industry Regulatory Authority, fine, FINRA, FINRA Rule 2010, fraud, Frederick Hohensee, Have you lost money, Hohensee, lost money, negligence, Reg BI, Regulation Best Interest, securities industry, securities law, structured notes, suspended, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Frederick Hohensee (CRD # 1431948) was recently suspended from the securities industry [...]

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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.|2026-03-22T13:09:36-05:00January 29th, 2026|Tags: Boustead Securities, conflicts of interest, experience, Financial Industry Regulatory Authority, FINRA, FINRA Rule 2111, fraud, Have you lost money, illiquid, initial public offering, investment experience, investment objectives, IPO, IPOs, lost money, Pre-IPO, Pre-IPOs, private placement, Reg BI, reg. D, 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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The Jeffrey Matthews Financial Group, L.L.C. Sanctioned by FINRA for Reg BI Violation

The Jeffrey Matthews Financial Group, L.L.C. Sanctioned by FINRA for Reg BI Violation

By Kevin J. Deloatch, Esq.|2024-07-26T09:32:17-05:00July 26th, 2024|Tags: arbitration, AWC, censure, compliance, customer complaint, Department of Enforcement, enforce, establish, failure, fine, FINRA, FINRA Rule 2010, FINRA Rule 3110, fraud, Have you lost money, investigation, Jeffrey Matthews, JMFG, misrepresentation, MSRB, policies, reasonably designed, recover lost funds, Reg BI, Regulation Best Interest, sales practice violation, sanctioned, securities exchange act, securities law practice, suitability, The Jeffrey Matthews Financial Group, violation, WSP, WSPs|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, The Jeffrey Matthews Financial Group, L.L.C. (CRD # 41282) was recently sanctioned [...]

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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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Alan Mason Suspended from Securities Industry by FINRA for Regulation BI Violation

Alan Mason Suspended from Securities Industry by FINRA for Regulation BI Violation

By Kevin J. Deloatch, Esq.|2024-06-06T11:20:20-05:00May 27th, 2024|Tags: Alan Mason, alleged damages, arbitration, AWC, Bradley Woods, concentration, customer account, customer complaint, customer-inititiated, Department of Enforcement, disgorgement, fine, FINRA, FINRA Rule 2010, fraud, Gruntal, Gunnallen Financial, Have you lost money, investigation, investment, Letter of Acceptance Waiver and Consent, recover lost funds, Reg BI, Regulation Best Interest, Regulation BI, sales practice, sales practice violation, securities exchange act, Securities Exchange Act of 1934, securities industry, securities law, securities law practice, suspended, unauthorized transactions, unsuitability, unsuitable recommendation, WestPark Capital, Wilmington Capital|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Alan Mason (CRD # 1302190) was recently suspended from the securities industry [...]

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Joao Pinto Suspended from Securities Industry by FINRA for Reg BI Violation

Joao Pinto Suspended from Securities Industry by FINRA for Reg BI Violation

By Kevin J. Deloatch, Esq.|2023-11-28T22:22:39-05:00November 27th, 2023|Tags: arbitration, AWC, Benchmark Investments, best interest, customer account, customer complaint, cyclical examination, Department of Enforcement, excessive, FINRA, fraud, free consultation, investments, Joao Pinto, Letter of Acceptance Waiver and Consent, losses, losses in your investments, negligence, Newbridge Securities Corporation, not in the customer best interest, recommended, Reg BI, sales practice, securities industry, securities practice, Spartan Capital Securities, suspended, trades, unsuitable, violating, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joao Pinto (CRD # 6298233) was recently suspended from the securities industry [...]

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National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

By Kevin J. Deloatch, Esq.|2022-06-26T17:42:34-05:00June 26th, 2022|Tags: arbitration, AWC, breach of contract, breach of fiduciary duty, censure, customer complaint, Department of Enforcement, disgorgement, failure to supervise, fine, FINRA, FINRA Rule 2010, FINRA Rule 2262, FINRA Rule 3010, FINRA Rule 3110, FINRA Rule 5131, fraud, multiple, National Securities Corporation, negligence, NSC, private placement, Reasonably supervise, red flags, restitution, sanctioned, SEC, Securities and Exchange Commission, suitability, unauthorized trading, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, National Securities Corporation (CRD # 7569) was recently sanctioned by FINRA’s Department [...]

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On-Line Trading and Brokerage Firm Liability

On-Line Trading and Brokerage Firm Liability

By Kevin J. Deloatch, Esq.|2021-02-10T11:49:25-05:00February 10th, 2021|Tags: broker-dealer, brokerage account, day-trading, Exchange Act, failure to supervise, FINRA, FINRA Rule 2111, losses, margin, on-line, options, Reg BI, Regulation Best Interest, Rule 2210, Rule 3110, Rule 3120, SEC, stockbroker, suitability, trading, trading app|

Does your brokerage firm have liability for on-line trading losses? Recent occurrences in the retail brokerage industry, including “no commission” trading and the introduction of apps [...]

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