FINRA – Broker Actions | New York Criminal & Securities Attorney

Anthony Graziano Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

Anthony Graziano Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

By Kevin J. Deloatch, Esq.|2021-12-14T13:19:45-05:00December 14th, 2021|Tags: All principal capacities, American Capital Partners, Anthony Graziano, Anthony Joseph Graziano, AWC, Brookstone Securities, churning, commissions, customer account, customer complaint, Department of Enforcement, excessive margin, excessively traded, failing to reasonably supervise, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, fraud, Gunallen Financial, investigation, Joseph Stone Capital, National Securities Corporation, red flags, Salomon Whitney, sanction, securities, securities industry, suspended, suspension, unauthorized trading, unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Anthony Joseph Graziano (CRD # 2862096) was recently suspended from acting in all [...]

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Adam Maggio Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

Adam Maggio Suspended from All Principal Capacities in Securities Industry by FINRA for Failure to Supervise

By Kevin J. Deloatch, Esq.|2022-01-27T21:47:27-05:00December 13th, 2021|Tags: Adam Maggio, All principal capacities, AWC, breach of fiduciary duty, Brundyn Securities, customer accounts, customer complaint, Department of Enforcement, Excessive activity, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, First Midwest Securities, fraud, J.P. Turner & Company, Joseph Stone Capital, misrepresentation, negligence, Reasonably supervise, red flags, sales practice violations, securities industry, suspended, unauthorized trading, unsuitability, VCS Venture Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Adam Maggio (CRD # 4177365) was recently suspended from all principal capacities in [...]

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Bradley Lay Suspended from Securities Industry by FINRA for Unauthorized Discretion

Bradley Lay Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-01-27T21:49:24-05:00December 13th, 2021|Tags: acceptance waiver and consent, advisor, AWC, Bradley Lay, broker, customer account, customer complaint, Department of Enforcement, FINRA, FINRA Rule 2010, fraud, investigation, Morgan Keegan, Raymond James, SA Stone Investment Advisors, SA Stone Wealth Management, sanction, sanctioned, securities industry, securities law, suspended, Trading authorization, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Bradley S. Lay (CRD # 4633746) was recently suspended from the securities industry [...]

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Robert Nyilas Barred from Securities Industry by FINRA for Refusing to Cooperate In Suitability Investigation

Robert Nyilas Barred from Securities Industry by FINRA for Refusing to Cooperate In Suitability Investigation

By Kevin J. Deloatch, Esq.|2021-09-16T13:53:41-05:00September 16th, 2021|Tags: acceptance waiver and consent, Advisory Group Equity Services, AWC, bar, barred, broker, customer account, Department of Enforcement, FINRA, FINRA Rule 2010, FINRA Rule 8210, investigation, Lebenthal Financial Services, recommendation, refuse to cooperate, refusing to cooperate, Robert Nyilas, Source Capital Group, suitability, unsuitable recommendation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Robert Nyilas (CRD # 1030273) was recently barred from the securities industry by [...]

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Joseph Lianzo Suspended from Securities Industry by FINRA for Churning and Unauthorized Trading

Joseph Lianzo Suspended from Securities Industry by FINRA for Churning and Unauthorized Trading

By Kevin J. Deloatch, Esq.|2021-09-03T10:44:20-05:00September 3rd, 2021|Tags: arbitration, AWC, Cape Securities, churning, customer account, customer complaints, De facto control, Department of Enforcement, excessive trading, excessively traded, FINRA, FINRA Rule 2010, FINRA Rule 2111, Joseph Lianzo, Laidlaw & Co., Quantitatively unsuitable, sanction, sanctioned, sanctions, securities industry, suspended, SW Financial, unauthorized trades, unauthorized trading, unsuitability, unsuitable, unsuitable recommendation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Joseph Lianzo (CRD # 4516842) was recently suspended from the securities industry by [...]

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Donald Fowler Barred from Securities Industry by FINRA for Churning and Fraud

Donald Fowler Barred from Securities Industry by FINRA for Churning and Fraud

By Kevin J. Deloatch, Esq.|2021-08-26T13:07:24-05:00August 26th, 2021|Tags: American Capital Partners LLC, arbitration, AWC, bar, barred, breach of fiduciary duty, broker, churning, customer accounts, customer complaint, Department of Enforcement, Donald Fowler, excessive trading, excessively trading, Exchange Act, fiduciary duty, FINRA, FINRA Rule, FINRA Rule 2010, FINRA Rule 2020, FINRA Rule 2111, former broker, fraud, J.D. Nicholas & Associates, misrepresentation, negligence, Rule 10b-5, sanction, Section 10(b), securities industry, unauthorized trading, unsuitable, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that former broker, Donald Fowler (CRD # 4989632) was recently barred from the securities [...]

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Alfonse Stazzone Suspended from Securities Industry by FINRA for Excessively Trading Customer Account

Alfonse Stazzone Suspended from Securities Industry by FINRA for Excessively Trading Customer Account

By Kevin J. Deloatch, Esq.|2021-08-23T14:49:59-05:00August 23rd, 2021|Tags: Alfonse Joseph Stazzone, Alfonse Stazzone, arbitration, AWC, breach of contract, churning, customer account, customer complaint, Department of Enforcement, excessively trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Garden State Securities, Monmouth Capital Management LLC, Quantitatively unsuitable, securities industry, suspended, unsuitable, Woodstock Financial Group|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Alfonse Joseph Stazzone (CRD # 4908107) was recently suspended from the securities industry [...]

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Maxim Beliakov Suspended from The Securities Industry by FINRA for Churning

Maxim Beliakov Suspended from The Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2021-08-18T10:31:31-05:00August 18th, 2021|Tags: AWC, broker, Chelsea Financial Services, churning, customer account, customer complaint, Department of Enforcement, excessive and unsuitable, excessively traded, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Garden State Securities, Maxim Beliakov, Quantitatively unsuitable, securities industry, suspended, unsuitability, unsuitable, Unsuitably, Woodstock Financial Group|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Maxim Beliakov (CRD # 5968432) was recently suspended from the securities industry by [...]

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John Cangialosi Suspended from Securities Industry by FINRA for Churning

John Cangialosi Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2021-08-16T10:29:26-05:00August 16th, 2021|Tags: AWC, broker, churning, customer accounts, customer complaints, Department of Enforcement, excessively, excessively trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, John Cangialosi, John Sebastian Cangialosi, misrepresentation, negligence, securities industry, suitability, suspended, traded, unauthorized trading, unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John Sebastian Cangialosi (CRD # 3273830) was recently suspended from the securities industry [...]

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Henry Bones, II Suspended from Securities Industry by FINRA for Failure to Reasonably Supervise Broker for Churning

Henry Bones, II Suspended from Securities Industry by FINRA for Failure to Reasonably Supervise Broker for Churning

By Kevin J. Deloatch, Esq.|2024-01-02T18:25:58-05:00August 15th, 2021|Tags: AWC, broker, Churned, churning, customer account, customer accounts, Department of Enforcement, excessively traded, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, fraud, Henry Bones, Joseph Gunnar, Joseph Gunnar & Co. LLC, Legend Securities, Reasonably supervise, sanction, sanctioned, securities industry, suitability, supervisor, suspended, SW Financial, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/supervisor, Henry Bones, II (CRD # 4673109) was recently suspended from the securities industry [...]

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