FINRA – Broker Actions | New York Criminal & Securities Attorney

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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Matthew Mierzycki Suspended from Securities Industry by FINRA for Unauthorized Trades

Matthew Mierzycki Suspended from Securities Industry by FINRA for Unauthorized Trades

By Kevin J. Deloatch, Esq.|2023-12-06T08:52:55-05:00December 6th, 2023|Tags: arbitration, AWC, customer account, customer complaint, Department of Enforcement, fine, FINRA, FINRA Rule 1122, FINRA Rule 2010, FINRA Rule 3260(b), fraud, Matthew Mierzycki, sales practice, securities industry, securities practice, suspended, U5, unauthorized trades, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Matthew Mierzycki (CRD # 6102769) was recently suspended from the securities industry [...]

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Robert Clayton, Jr. Suspended from Securities Industry by FINRA for Mismarking Order Tickets

Robert Clayton, Jr. Suspended from Securities Industry by FINRA for Mismarking Order Tickets

By Kevin J. Deloatch, Esq.|2023-11-30T12:59:13-05:00November 30th, 2023|Tags: arbitration, AWC, customer complaint, Department of Enforcement, fine, FINRA, FINRA Rule 2010, FINRA Rule 4511, fraud, IC Advisory Services, Investment Center, Letter of Acceptance Waiver and Consent, mismarked, mismarking order tickets, MML Investors Services, order tickets, Robert Clayton, sales practice, securities industry, securities law practice, solicited, suspended, TFS Advisory Services, unsolicited, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert Clayton, Jr. (CRD # 2598586) was recently suspended from the securities [...]

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Jilena Yuen-Han Mok Suspended from Securities Industry by FINRA for Unauthorized Trades

Jilena Yuen-Han Mok Suspended from Securities Industry by FINRA for Unauthorized Trades

By Kevin J. Deloatch, Esq.|2023-11-29T14:49:14-05:00November 29th, 2023|Tags: advisor, Aegis Capital Corp, arbitration, AWC, broker, customer account, customer complaint, Department of Enforcement, discretion, Edward Jones, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260, fraud, Have you lost money, Jilen Yuen-Han Mok, Letter of Acceptance Waiver and Consent, recover losses, sales practice violation, securities industry, securities law, securities law practice, suspended, unauthorized trades, without customer authorization|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Jilena Yuen-Han Mok (CRD # 6115674) was recently suspended from the securities [...]

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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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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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