FINRA – Broker Actions | New York Criminal & Securities Attorney

Leonid Yurovsky Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

Leonid Yurovsky Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

By Kevin J. Deloatch, Esq.|2022-12-28T11:56:55-05:00December 27th, 2022|Tags: arbitration, AWC, churning, commissions, customer account, customer complaint, Department of Enforcement, excessive, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investor, Joseph Stone Capital, Law Office, Leonid Yurovsky, lost money, misrepresentation, National Securities Corporation, PHX Financials, recommended, sales practice violation, securities industry, securities law, settled, suspended, trading, transactions, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Leonid Yurovsky (CRD # 4554905) was recently suspended from the securities industry [...]

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Michael G. DeLuca Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

Michael G. DeLuca Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

By Kevin J. Deloatch, Esq.|2022-12-12T23:31:44-05:00December 12th, 2022|Tags: arbitration, AWC, customer complaint, Department of Enforcement, failure to supervise, fine, FINRA, FINRA Rule 2010, FINRA Rule 2330, FINRA Rule 3110, Fortune Financial Services, fraud, investigate, investigation, investments, Law Office, losses, lost funds, Michael DeLuca, misrepresentation, new account document, Prosperity Wealth Management, red flags, sales practice violations, securities industry, securities law, securities law practice, suitability, suitable, surrender charge, suspended, USA Financial Securities, USA Financial Securities Corporation, variable annuities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Michael G. DeLuca (CRD # 4428054) was recently suspended from the securities [...]

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Mirsad Muharemovic Suspended from Securities Industry by FINRA for Excessive Trading

Mirsad Muharemovic Suspended from Securities Industry by FINRA for Excessive Trading

By Kevin J. Deloatch, Esq.|2022-12-12T12:35:01-05:00December 12th, 2022|Tags: advisor, arbitration, Arrive Capital Markets, award, AWC, breach of fiduciary duty, broker, Cape Securities, Cape Securities Inc., churning, commission, commissions, Coram, customer complaint, damages, Department of Enforcement, excessive trading, failure to diversify, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Law Office, margin, material facts, Mirsad Muharemovic, misrepresentation, negligence, recommendation, recommended, sales practice violation, Seaboard Securities, securities industry, securities law, securities law practice, settled, suspended, suspension, Turner & Company, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Mirsad Muharemovic (CRD # 3122589) was recently suspended from the securities industry [...]

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Christine A. Warner Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

Christine A. Warner Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

By Kevin J. Deloatch, Esq.|2022-12-09T15:32:03-05:00December 9th, 2022|Tags: advisor, arbitration, AWC, broker, Christine Warner, customer complaint, Ensemble Financial Services, exchange, failure to supervise, fine, FINRA, FINRA Department of Enforcement, FINRA Rule 2010, FINRA Rule 2330, FINRA Rule 3110, Fortune Financial Services, fraud, investigation, misrepresentation, Monticello Financial Group, omission, recommendation, securities industry, securities law, securities law practice, suitable, surrender charge, suspended, variable annuities, variable annuity, variable annuity exchange application|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christine A. Warner (CRD # 4001584) was recently suspended from the securities [...]

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Robert Allen Koestler Barred from Securities Industry by FINRA for Failing to Cooperate in Unauthorized Trading Investigation

Robert Allen Koestler Barred from Securities Industry by FINRA for Failing to Cooperate in Unauthorized Trading Investigation

By Kevin J. Deloatch, Esq.|2022-12-01T10:43:25-05:00December 1st, 2022|Tags: Ameriprise Financial Services, AWC, barred, cooperate, customer account, customer complaint, Department of Enforcement, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, LPL Financial, Robert Allen Koestler, Robert Koestler, securities industry, securities law, unauthorized trading|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert Allen Koestler (CRD # 7023515) was recently barred from the securities [...]

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Jesus Manuel Bravo (a/k/a Jesse Bravo) Suspended from Securities Industry by FINRA for Churning

Jesus Manuel Bravo (a/k/a Jesse Bravo) Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-11-25T11:17:35-05:00November 25th, 2022|Tags: advisor, arbitration, AWC, broker, CBC Securities, churning, customer account, customer complaint, Department of Enforcement, DMK Advisor Group, excessive, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investigation, Jesse Bravo, Jesus Bravo, Jesus Manuel Bravo, Joseph Stone Capital, Law Office, Manuel, restitution, securities, securities industry, securities law, Solomon Whitney LLC, suspended, suspension, unsuitability, unsuitable, Unsuitably|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Jesus Manuel Bravo (a/k/a Jesse Bravo) (CRD # 2838164) was recently suspended from [...]

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David Lau Suspended from Securities Industry by FINRA for Unauthorized Discretion

David Lau Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-11-21T16:04:07-05:00November 21st, 2022|Tags: arbitration, AWC, complaint, customer account, David Lau, Department of Enforcement, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260, FINRA Rule 3260(b), fraud, lost funds, Morgan Stanley, sanction, securities industry, suspended, unauthorized discretion, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, David Lau (CRD # 4567411) was recently suspended from the securities industry [...]

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Michael “Mike” Joseph Lancaster Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Michael “Mike” Joseph Lancaster Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2022-11-15T13:33:31-05:00November 15th, 2022|Tags: acceptance waiver and consent, arbitration, AWC, Capital Analysts, customer account, customer complaint, Department of Enforcement, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, IFP Securities, investigation, Joseph, Lancaster, LPL Financial, Michael Lancaster, Mike Lancaster, NASD Rule 2310, NFP Securities, sales practice, sales practice violation, securities, securities industry, securities law, suitability, suspended, unsuitability, unsuitable recommendation, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Michael “Mike” Joseph Lancaster (CRD # 1353552) was recently suspended from the [...]

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M B “Mickey” Schreiber Suspended from Securities Industry by FINRA After Unauthorized Discretion Investigation

M B “Mickey” Schreiber Suspended from Securities Industry by FINRA After Unauthorized Discretion Investigation

By Kevin J. Deloatch, Esq.|2022-11-10T21:52:11-05:00November 10th, 2022|Tags: Aegis Capital Corp, arbitration, AWC, breach of contract, churning, Concord Equity Group, customer account, customer complaint, Department of Enforcement, discretionary trades, exercised, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), FINRA Rule 4511, fraud, investigation, M. B. Schreiber, Mickey Schreiber, misrepresentation, NASD Rule 2510(b), National Securities Corporation, negligence, Newbridge Securities Corporation, omission of material facts, sales practice, securities industry, securities law, securities law practice, Summit Brokerage Services, suspended, suspension, unauthorized discretion, unsuitability, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, M B “Mickey” Schreiber (CRD # 1032600) was recently suspended from the [...]

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Christopher “Chris” Shaw Suspended from Securities Industry by FINRA for Unauthorized Discretion

Christopher “Chris” Shaw Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-11-09T14:26:18-05:00November 9th, 2022|Tags: authority, AWC, breach of contract, breach of fiduciary duty, Chris Shaw, Christopher, Christopher Shaw, customer account, Department of Enforcement, discretion, discretionary, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), fraud, Kalos Management, negligence, Newbridge Financial Services Group, Newbridge Securities Corporation, Pruco Securities, sanction, securities industry, Shaw, suspended, unauthorized, unauthorized discretion, unsuitable recommendation, violated, written authorization|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christopher John Shaw, a/k/a Chris Shaw (CRD # 5011382) was recently suspended [...]

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