FINRA – Broker Actions | New York Criminal & Securities Attorney

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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Ronald Bright Suspended from Securities Industry by FINRA for Unauthorized Discretion

Ronald Bright Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-02-03T18:26:09-05:00February 3rd, 2022|Tags: Ameriprise Financial Services, arbitration, AWC, broker, customer complaint, Department of Enforcement, Edward Jones, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3260, fraud, investigation, investment adviser, Olde Discount Corporation, Ronald Bright, sanction, Scott, securities industry, suspended, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Broker/Investment Adviser, Ronald Scott Bright (CRD # 2702179) was recently suspended from the securities industry [...]

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Dennis Ayer Barred from Securities Industry by FINRA After Suitability Investigation

Dennis Ayer Barred from Securities Industry by FINRA After Suitability Investigation

By Kevin J. Deloatch, Esq.|2022-01-30T10:42:22-05:00January 30th, 2022|Tags: adviser, advisor, AWC, bar, barred, broker, customer account, customer complaint, Dennis Ayer, Department of Enforcement, failure to cooperate, FINRA, FINRA Rule 2010, FINRA Rule 8210, Hilltop Securities, Integrated Advisors Network, investigation, Merrill Lynch Pierce Fenner, on-the-record testimony, Oppenheimer, Penguin Capital Management, Phillip, securities industry, settled, suitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Dennis Ayer (CRD # 5365176) was recently barred from the securities industry by FINRA’s [...]

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Joseph LaScala, Jr. Suspended by FINRA from Securities Industry for Churning and Unauthorized Discretion

Joseph LaScala, Jr. Suspended by FINRA from Securities Industry for Churning and Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-01-26T19:50:29-05:00January 26th, 2022|Tags: advisor, Aegis Capital Corp, AWC, Brian, broker, churning, customer account, customer complaint, Department of Enforcement, excessive, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, Gunallen Financial, investigation, Joseph LaScala, Jr., NASD, NASD Rule 2510(b), Paulson Investment Company, Quantitatively unsuitable, sanction, securities industry, suspended, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joseph LaScala, Jr. (CRD # 3070261) was recently suspended from the securities industry by [...]

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John LoPinto Suspended from Securities Industry by FINRA for Excessive Trading

John LoPinto Suspended from Securities Industry by FINRA for Excessive Trading

By Kevin J. Deloatch, Esq.|2022-01-21T11:36:44-05:00January 21st, 2022|Tags: arbitration, AWC, breach of contract, breach of fiduciary duty, churning, customer account, customer complaint, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, investigation, J.P. Turner, John LoPinto, Legend Securities, Michael, misrepresentation, National Securities Corporation, negligence, Quantitatively unsuitable, securities industry, suitability, suspended, unsuitable, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John LoPinto (CRD # 4563735) was recently suspended from the securities industry by [...]

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Michael Nixon Suspended from Securities Industry by FINRA for Unsuitable Securities Recommendations

Michael Nixon Suspended from Securities Industry by FINRA for Unsuitable Securities Recommendations

By Kevin J. Deloatch, Esq.|2022-01-21T11:34:32-05:00January 21st, 2022|Tags: arbitration, AWC, customer account, customer complaint, Department of Enforcement, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investigation, Meyers Associates, Michael Nixon, Newport Coast Securities, Patrick, Paulson Investment Company, securities industry, steepener, suspended, unsuitable recommendations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Michael Nixon (CRD # 2169631) was recently suspended from the securities industry by FINRA’s [...]

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Joel Kichline Suspended from Securities Industry by FINRA for Unauthorized Discretion

Joel Kichline Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-01-18T08:59:21-05:00January 18th, 2022|Tags: A.G. Edwards, advisor, AWC, broker, complaint, customer account, customer complaint, Department of Enforcement, fine, fined, FINRA, FINRA BrokerCheck, FINRA Rule 2010, FINRA Rule 3260, fraud, investigation, Joel Kichline, NASD Rule 2510, Paul, Raymond James, securities industry, Stifel Nicolaus, suspended, unauthorized discretion, Wachovia Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joel Kichline (CRD # 1416219) was recently suspended from the securities industry by FINRA’s [...]

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Eric Willer Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Eric Willer Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2021-12-17T10:32:41-05:00December 17th, 2021|Tags: advisor, AWC, broker, customer account, customer accounts, customer complaint, customer complaints, Department of Enforcement, due diligence, Eric Carl Willer, Eric Willer, fine, fined, FINRA, fraud, Fusion Analytics Securities, investigation, Kestra Investment Services, misrepresentation, Misreprsented, private placement, recommendation, recommendations, securities industry, suitability, suspended, suspension, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Eric Carl Willer (CRD # 2263899) was recently suspended from the securities industry [...]

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Alan Feigenbaum Suspended from Securities Industry by FINRA for Unauthorized Discretion

Alan Feigenbaum Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-01-17T15:37:26-05:00December 15th, 2021|Tags: advisor, Alan Feigenbaum, Alan Scot Feigenbaum, AWC, broker, Department of Enforcement, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3260, FINRA Rule 4511, fraud, misrepresentation, NASD Rule 2510, National Securities Corporation, negligence, Newbridge Securities Corporation, Prime Capital Services, sanction, sanctioned, securities industry, securities law, suitability, suspended, unauthorized discretion, unauthorized trading|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Alan Scot Feigenbaum (CRD # 3132230) was recently suspended from the securities industry [...]

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