FINRA – Broker Actions | New York Criminal & Securities Attorney

Jason Seale, III Suspended from Securities Industry by FINRA for Using Unauthorized Discretion

Jason Seale, III Suspended from Securities Industry by FINRA for Using Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2021-08-15T10:32:52-05:00August 14th, 2021|Tags: adviser, AWC, broker, customer account, customer complaint, Department of Enforcement, Discretionary trading, fine, fined, FINRA, FINRA Rule 2010, Jason Lee Seale, Jason Seale, NASD Rule 2510(b), sanction, securities industry, suspended, suspension, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser, Jason Lee Seale, III (CRD # 1874548) was recently suspended from the securities [...]

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Matthew Perry Barred by FINRA from Securities Industry After Refusing to Cooperate In Options Trading Investigation

Matthew Perry Barred by FINRA from Securities Industry After Refusing to Cooperate In Options Trading Investigation

By Kevin J. Deloatch, Esq.|2021-08-12T19:52:14-05:00August 12th, 2021|Tags: Alex Perry, Alexander, AWC, bar, barred, customer accounts, customer complaint, Department of Enforcement, failure to cooperate, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, Matthew Perry, options, Options trading, refusing to cooperate, securities industry, settled, Stifel Nicolaus, terminated, U4, U5, unauthorized, unsuitable securities, wells fargo, Wells Fargo Advisors|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that now former broker/investment adviser, Matthew Alexander Perry (Alex Perry) (CRD # 5985300) was recently [...]

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Walter Allen Barred from Securities Industry by FINRA After Refusing to Cooperate In Unauthorized Discretion Investigation

Walter Allen Barred from Securities Industry by FINRA After Refusing to Cooperate In Unauthorized Discretion Investigation

By Kevin J. Deloatch, Esq.|2022-02-01T21:58:20-05:00August 9th, 2021|Tags: AWC, bar, barred, Cetera Advisors LLC, customer complaint, discretion, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, Investors Capital Corp, sanction, sanctioned, securities, securities industry, unauthorized, Walter Allen|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Walter Morrow Allen (CRD # 1344149) was recently barred from the securities industry [...]

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Cesar Hurtado Suspended from the Securities Industry by FINRA for Unsuitable Option Strategy Recommendations

Cesar Hurtado Suspended from the Securities Industry by FINRA for Unsuitable Option Strategy Recommendations

By Kevin J. Deloatch, Esq.|2021-08-08T17:19:30-05:00August 8th, 2021|Tags: Augusto, AWC, breach of contract, breach of fiduciary duty, Cesar Hurtado, CIBC World Markets Corp., customer account, customer complaint, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 2111(a), FINRA Rule 2360, FINRA Rule 2360(b)(18)(A), FINRA Rule 2360(b)(19), fraud, investigation, misrepresentation, negligence, Oppenheimer & Co., Option, options, recommendation, sales practice violation, securities industry, strategy, suitability, suspended, suspension, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser, Cesar Hurtado (CRD # 4137948) was recently suspended from the securities industry [...]

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Eugene McAdams Barred from Securities Industry by FINRA After Suitability Investigation

Eugene McAdams Barred from Securities Industry by FINRA After Suitability Investigation

By Kevin J. Deloatch, Esq.|2021-08-05T10:57:55-05:00August 5th, 2021|Tags: AWC, bar, barred, Cape Securities Inc., complaint, Eugene McAdams, excessive trading, failure to cooperate, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, Jospeh Stone Capital, PHD Capital, recommendation, sanction, securities, securities industry, suitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Eugene McAdams (CRD # 4190211) was recently barred from the securities industry by [...]

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FINRA Commenced Disciplinary Proceedings Against Daniel O’Neill for Churning

FINRA Commenced Disciplinary Proceedings Against Daniel O’Neill for Churning

By Kevin J. Deloatch, Esq.|2021-08-01T09:37:00-05:00July 31st, 2021|Tags: Aegis Capital Corp, churning, customer account, customer complaint, Daniel O’Neill, Department of Enforcement, disciplinary proceedings, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Ladenburg Thalmann, Maxim Group LLC, Office of Hearing Officers, Quantitatively unsuitable, short term trading, Short-term, unauthorized, unauthorized trading, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that the FINRA Department of Enforcement recently commenced disciplinary proceedings against broker, Daniel O’Neill [...]

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Christopher Orlando Barred from Securities Industry by FINRA for Churning

Christopher Orlando Barred from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2021-07-30T07:56:19-05:00July 30th, 2021|Tags: arbitration, AWC, bar, barred, broker, Christopher George Orlando, Christopher Orlando, churning, customer account, customer complaint, customer complaints, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, misrepresentation, Quantitatively unsuitable, securities industry, Spartan Capital Securities, St. Bernard Financial Services, suitability, unsuitablity, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Christopher George Orlando (CRD # 4136262) was recently barred from the securities industry [...]

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Gilbert Kuta Suspended from Securities Industry by FINRA for Unauthorized Discretion

Gilbert Kuta Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2021-07-28T15:43:03-05:00July 28th, 2021|Tags: Aegis Capital Corp, arbitration, AWC, Capital Securities Management Inc., churning, customer complaint, fined, FINRA, FINRA Rule 2010, Gilbert Anthony Kuta, Gilbert Kuta, investigation, NASD Rule 2510(b), RBC Capital Markets Corporation, sanction, securities industry, suspended, unauthorized, unauthorized discretion, unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser, Gilbert Anthony Kuta (CRD # 1084075) was recently suspended from the securities [...]

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Gary Bowman Suspended from Securities Industry by FINRA for Unsuitable Short-Term Trading of UITs

Gary Bowman Suspended from Securities Industry by FINRA for Unsuitable Short-Term Trading of UITs

By Kevin J. Deloatch, Esq.|2021-07-14T13:25:24-05:00July 14th, 2021|Tags: adviser, Arque Capital, Bowman Financial Services, broker, churning, customer account, customer complaint, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, Gary Bowman, investigation, investment adviser, Max, SagePoint Financial, sanction, sanctioned, securities industry, short term trading, stockbroker, suspended, UIT, unit investment trust, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser, Gary Max Bowman (CRD # 2035699) was recently suspended from the securities [...]

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Douglas Szempruch Suspended from Securities Industry by FINRA for Churning and Unauthorized Discretion

Douglas Szempruch Suspended from Securities Industry by FINRA for Churning and Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2021-07-13T17:53:45-05:00July 13th, 2021|Tags: Aegis Capital Corp, AWC, Bach & Company, churning, Douglas Szempruch, fine, fined, FINRA, FINRA 2210, FINRA Rule 2010, FINRA Rule 2111, Global Arena Capital Corp, investigation, NASD Rule 2510(b), Prestige Financial Center, sanction, sanctioned, securities industry, suspended, unauthorized discretion, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Douglas Edward Szempruch (CRD # 4159318) was recently suspended from the securities industry [...]

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