FINRA – Broker Actions | New York Criminal & Securities Attorney

Christopher Polinaire Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

Christopher Polinaire Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

By Kevin J. Deloatch, Esq.|2022-11-06T19:00:31-05:00November 6th, 2022|Tags: advisor, Alexander, Arive Capital Markets, AWC, broker, Christopher Polinaire, churning, customer accounts, Department of Enforcement, excessive, excessively, fine, fined, FINRA, FINRA Department of Enforcement, FINRA Rule 2010, FINRA Rule 2111, First Standard Financial Company, fraud, investigation, Network 1 Financial Securities, sanction, securities, securities industry, securities law, suitability, suspended, trading, unsuitable, Unsuitably, violations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Christopher Alexander Polinaire (CRD # 4330879) was recently suspended from the securities [...]

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Russ Kory Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Russ Kory Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2022-09-04T14:24:03-05:00September 4th, 2022|Tags: advisor, arbitration, AWC, breach of fiduciary duty, broker, customer complaint, David Lerner Associates, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, industry, investment, limited partnership, misrepresentation, recommendations, Russ Kory, sanction, securities, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Russ Kory (CRD # 5901185) was recently suspended from the securities industry [...]

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Joseph Ambrosole Barred from Securities Industry by FINRA Regarding Investigation of Unsuitable Trading

Joseph Ambrosole Barred from Securities Industry by FINRA Regarding Investigation of Unsuitable Trading

By Kevin J. Deloatch, Esq.|2022-08-09T19:11:52-05:00August 9th, 2022|Tags: advisor, Alexander Capital, AWC, bar, barred, broker, churning, customer account, customer accounts, Department of Enforcement, excessive trading, FINRA, FINRA Rule 2010, FINRA Rule 8210, investigation, Joseph Ambrosole, Joseph Stone Capital, Meyers Associates, securities industry, unauthorized, unsuitable trading|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Joseph A. Ambrosole (CRD # 5732488) was recently barred from the securities industry [...]

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James Pecoraro Suspended from Securities Industry by FINRA for Churning

James Pecoraro Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-08-07T16:10:42-05:00August 7th, 2022|Tags: advisor, arbitration, AWC, breach of fiduciary duty, broker, churning, customer account, customer complaint, Department of Enforcement, excessive, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Harrison Securities, investigation, James Pecoraro, misrepresentation, negligence, Primary Capital, Quantitatively unsuitable, Rockwell Global Capital, sanction, securities industry, Spartan Capital Securities, suspended, SW Financial, unauthorized, unauthorized transactions, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, James Pecoraro (CRD # 2440231) was recently suspended from the securities industry [...]

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Charles Baker Barred from Securities Industry by FINRA After Investigation

Charles Baker Barred from Securities Industry by FINRA After Investigation

By Kevin J. Deloatch, Esq.|2022-06-16T19:46:34-05:00June 16th, 2022|Tags: arbitration, AWC, bar, barred, Charles Baker, commercial honor, customer complaint, Dean Witter Reynolds, Department of Enforcement, discretionary, E.F. Hutton, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, Richfield Orion International, Ronald, securities industry, securities law, trading, unsuitable, WFG Investments|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Charles Ronald Baker (CRD # 10600) was recently barred from the securities [...]

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Blakely Page Suspended from Securities Industry by FINRA for Negligent Misrepresentation

Blakely Page Suspended from Securities Industry by FINRA for Negligent Misrepresentation

By Kevin J. Deloatch, Esq.|2022-06-15T17:10:24-05:00June 15th, 2022|Tags: adviser fraud, AWC, Banc of America Securities, Blakely Page, Cascade Financial Management, customer complaint, Department of Enforcement, feeder fund, fine, fined, FINRA, FINRA Rule 2010, fraud, investigation, investment fund, master fund, misrepresentation, negligent, sanction, securities industry, Spouting Rock Capital Advisors, suspended|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Blakely Page (CRD # 2922955) was recently suspended from the securities industry [...]

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Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-06-13T11:02:49-05:00June 13th, 2022|Tags: a/k/a, AWC, churning, Craig Scott Capital, customer complaints, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investigation, Joseph Stone Capital, Paul Desir, Paulmery Robert Desir, Richfield Orion International, Rothschild Lieberman LLC, sanction, securities industry, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Palmery Robert Desir, a/k/a Paul Desir (CRD # 5559016) was recently suspended [...]

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Walter Waitak Light Suspended from Securities Industry by FINRA for Unauthorized Discretion

Walter Waitak Light Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-06-12T12:48:51-05:00June 12th, 2022|Tags: AWC, customer complaints, Darnall Kemna and Co., Department of Enforcement, fine, fined, FINRA, fraud, investigation, Light Securities, regulatory actions, Rule 2010, Rule 3260, sanction, sanctioned, securities industry, suspended, Treasure Financial Corp., unauthorized discretion, Walter Light, Walter Waitak Light|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Walter Waitak Light (CRD # 1494331) was recently suspended from the securities [...]

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Eric Nicolassy Suspended from Securities Industry by FINRA for Churning, Suitability and Unauthorized Trading

Eric Nicolassy Suspended from Securities Industry by FINRA for Churning, Suitability and Unauthorized Trading

By Kevin J. Deloatch, Esq.|2022-04-01T10:42:24-05:00March 28th, 2022|Tags: advisor, Alexander Capital, arbitration, AWC, broker, churning, customer, customer complaint, customer-inititiated, Department of Enforcement, discretion, Eric Edward Nicolassy, Eric Nicolassy, excessive trading, fiduciary duty, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3260, fraud, investigation, Network 1 Financial Securities, sanction, securities industry, suitability, suspended, unauthorized trading, Woodstock Financial Group|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Eric Edward Nicolassy (CRD # 6244539) was recently suspended from the securities industry by [...]

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Christopher Bond Suspended by FINRA from Securities Industry for Unauthorized Discretion

Christopher Bond Suspended by FINRA from Securities Industry for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-02-13T14:17:50-05:00February 13th, 2022|Tags: arbitration, AWC, broker, Christopher Bond, customer complaint, Department of Enforcement, disciplinary proceedings, Eduard, Edward, Ehrenkrantz King Nussbaum, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), frau, Gunnallen Financial, investigation, investment advisor, National Securities Corporation, private placement, securities industry, suitability, suspended, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Broker/Investment Adviser, Christopher Edward Bond (CRD # 4658534) was recently suspended from the securities industry [...]

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