FINRA – Broker Actions | New York Criminal & Securities Attorney

Troy Allen Orlando Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Troy Allen Orlando Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2023-11-26T14:34:44-05:00November 26th, 2023|Tags: arbitration, AWC, Craft Capital Management, customer account, customer complaint, Department of Enforcement, excessive, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, high frequency, investigation, Joseph Gunnar, Joseph Stone Capital, Letter of Acceptance Waiver and Consent, misrepresentation, not in the customer best interest, Regulation Best Interest, Regulation BI, restitution, securities industry, securities law, securities law practice, Spartan Capital Securities, suspended, suspension, Troy Allen Orlando, unauthorized trading, unsuitable, unsuitable recommendation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Troy Allen Orlando (CRD # 6055474) was recently suspended from the securities [...]

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Gustavo Rodrigo III Suspended from Securities Industry by FINRA for Unauthorized Discretion

Gustavo Rodrigo III Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2023-09-14T16:50:21-05:00September 14th, 2023|Tags: arbitration, award waiver and consent, AWC, Boustead Securities, Caldwell International Securities, customer complaint, Department of Enforcement, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3260, fraud, Gustavo Rodrigo III, misrepresentation, NASD Rule 2510(b), sanction, securities industry, suspended, unauthorized discretion, unauthorized trading, WestPark Capital, Woodstock Financial Group|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Gustavo Rodrigo III (CRD # 3031284) was recently suspended from the securities industry by [...]

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Anthony Cross Suspended from Securities Industry by FINRA for Unauthorized Discretion

Anthony Cross Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2023-09-12T16:03:18-05:00September 12th, 2023|Tags: Anthony Cross, arbitration, AWC, customer complaint, Department of Enforcement, fine, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 3260(b), Have you lost money, MML Investors Services, On Investment Management, sales practice violation, securities industry, suspended, unauthorized discretion, Vanderbilt Advisory Services|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Anthony Cross (CRD # 3155726) was recently suspended from the securities industry [...]

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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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Michelle Wu Suspended from Securities Industry by FINRA for Unauthorized Discretion

Michelle Wu Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2023-06-19T08:26:31-05:00June 19th, 2023|Tags: arbitration, AWC, customer complaint, Department of Enforcement, fine, FINRA, fraud, investigation, Letter of Acceptance Waiver and Consent, Michelle Wu, Principal Securities, sanction, securities industry, suspended, unauthorized discretion, WMA Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Michelle Wu (CRD # 3046373) was recently suspended from the securities industry [...]

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Thomas Diamante Suspended from Securities Industry by FINRA After Investigation of Private Placement Offerings

Thomas Diamante Suspended from Securities Industry by FINRA After Investigation of Private Placement Offerings

By Kevin J. Deloatch, Esq.|2023-06-12T17:23:57-05:00June 12th, 2023|Tags: 17(a)(2), Atlas Capital Services, AWC, customer complaint, Department of Enforcement, Empire Financial Group, fine, FINRA, FINRA Rule 2010, FINRA Rule 3110, fraud, offerings, private placement, Reasonably supervise, sales practice, Securities Act of 1933, securities industry, supervision, suspended, SW Financial, Thomas Diamante|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Thomas Diamante (CRD # 1645257) was recently suspended from the securities industry [...]

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Jeremy Jefferson Jacobson Suspended from Securities Industry by FINRA for Unauthorized Trades

Jeremy Jefferson Jacobson Suspended from Securities Industry by FINRA for Unauthorized Trades

By Kevin J. Deloatch, Esq.|2023-06-07T09:38:17-05:00June 7th, 2023|Tags: AWC, brokerage account, brokerage firm, customer account, customer complaint, Department of Enforcement, fine, FINRA, FINRA Rule 2010, fraud, investigation, investments, Jeremy Jefferson Jacobson, lost money, LPL Financial, Morgan Keegan, Raymond James, sales practice violation, securities industry, suspended, unauthorized trades|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Jeremy Jefferson, Jacobson (CRD # 4437801) was recently suspended from the securities [...]

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Shahab TagnaviDinani Suspended by FINRA from Securities Industry for Unauthorized Trading

Shahab TagnaviDinani Suspended by FINRA from Securities Industry for Unauthorized Trading

By Kevin J. Deloatch, Esq.|2023-05-05T08:26:42-05:00May 5th, 2023|Tags: AWC, brokerage account, customer complaint, Department of Enforcement, FINRA, FINRA Rule 2010, fraud, investigation, investments, lost money, Park Avenue Securities, sales practice violation, securities industry, Shahab TagnaviDinani, Sovereign Global Advisors, suspended, The (Wilson) Williams Financial Group, unauthorized trading, Union Capital Company|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Shahab TagnaviDinani (CRD # 2503652) was recently suspended from the securities industry [...]

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Lon Charles Faccini Suspended from Securities Industry by FINRA for Churning

Lon Charles Faccini Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2023-04-16T12:04:58-05:00April 16th, 2023|Tags: arbitration, Arrive Capital Markets, award, AWC, breach of fiduciary duty, Cape Securities, churning, customer complaint, Department of Enforcement, excessive, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Letter of Acceptance Waiver and Consent, Liberty Partners Financial Services, Lon Charles Faccini, misrepresentation, negligent, securities industry, settled, suspended, trading, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Lon Charles Faccini, Jr. (a/k/a Lon Charles Faccini) (CRD # 2736849) was [...]

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