Fraud | New York Criminal & Securities Attorney

Glenn Bridwell, Jr. Suspended From Securities Industry by FINRA for Unauthorized Discretion

Glenn Bridwell, Jr. Suspended From Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2024-09-07T08:34:08-05:00September 7th, 2024|Tags: arbitration, award waiver and consent, AWC, customer complaint, Department of Enforcement, FBL Marketing Services, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), fraud, Glenn Bridwell, Have you lost money, sales practice violation, sanction, securities industry, securities law practice, suspended, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Glenn Bridwell, Jr. (CRD # 1783191) was recently suspended from the securities [...]

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Alan Mason Suspended from Securities Industry by FINRA for Regulation BI Violation

Alan Mason Suspended from Securities Industry by FINRA for Regulation BI Violation

By Kevin J. Deloatch, Esq.|2024-06-06T11:20:20-05:00May 27th, 2024|Tags: Alan Mason, alleged damages, arbitration, AWC, Bradley Woods, concentration, customer account, customer complaint, customer-inititiated, Department of Enforcement, disgorgement, fine, FINRA, FINRA Rule 2010, fraud, Gruntal, Gunnallen Financial, Have you lost money, investigation, investment, Letter of Acceptance Waiver and Consent, recover lost funds, Reg BI, Regulation Best Interest, Regulation BI, sales practice, sales practice violation, securities exchange act, Securities Exchange Act of 1934, securities industry, securities law, securities law practice, suspended, unauthorized transactions, unsuitability, unsuitable recommendation, WestPark Capital, Wilmington Capital|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Alan Mason (CRD # 1302190) was recently suspended from the securities industry [...]

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Arive Capital Markets Sanctioned by FINRA for Failure to Supervise

Arive Capital Markets Sanctioned by FINRA for Failure to Supervise

By Kevin J. Deloatch, Esq.|2024-05-22T16:05:59-05:00May 22nd, 2024|Tags: Arive Capital Markets, attorney, AWC, customer, Department of Enforcement, excessive trading, extensive, failure to supervise, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3110, fraud, losses in investments, lost money with Arive Capital Markets, recommendation, recover lost funds, regulatory action, sales practice violation, sanctioned, securities practice, suitability, WSP|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Arive Capital Markets (CRD # 8060) was recently sanctioned by FINRA’s Department [...]

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Christopher Joseph McCoy Suspended from Securities Industry By FINRA for Unauthorized Discretion

Christopher Joseph McCoy Suspended from Securities Industry By FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2024-05-06T12:54:07-05:00May 6th, 2024|Tags: advisor, arbitration, AWC, breach of fiduciary duty, broker, brokerage account, Calton Associates, Christopher McCoy, customer complaint, Financial Network Investments Corporation, fine, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 3260, First Republic Group, Have you lost money, investigation, Joseph, NASD Rule 2510, negligence, sales practice violation, securities industry, securities law practice, suspended, unauthorized discretion, unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christopher Joseph McCoy (CRD # 4113108) was recently suspended from the securities [...]

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Joseph Desapio Suspended by FINRA from Securities Industry for Violating Reg BI

Joseph Desapio Suspended by FINRA from Securities Industry for Violating Reg BI

By Kevin J. Deloatch, Esq.|2024-03-11T16:50:34-05:00March 11th, 2024|Tags: AWC, best interest, churning, customer complaint, damages, fiduciary duty, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 2111, Have you lost money, investigation, Joseph Desapio, Legend Securities, negligence, Quantitatively unsuitable, recover lost funds, Reg BI, Regulation BI, sales practice violation, securities industry, securities law practice, Spartan Capital Securities, standards of commercial honor, suitability, suspended, suspension, unsuitable recommendations, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joseph Desapio (CRD # 5837553) was recently suspended from the securities industry [...]

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Felipe Henao Vargus Suspended from Securities Industry by FINRA for Unauthorized Discretion

Felipe Henao Vargus Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2024-01-16T14:40:40-05:00December 20th, 2023|Tags: AWC, Bolton Global Capital, customer account, customer complaint, Department of Enforcement, Felipe Henao Vargas, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), fraud, Have you lost money, Insigneo Securities, investigation, Letter of Acceptance Waiver and Consent, Merrill Lynch Pierce Fenner, securities industry, securities law, suspended, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Felipe Henao Vargas (CRD # 5140431) was recently suspended from the securities [...]

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Darren Ting Suspended from Securities Industry by FINRA for Various Sales Practice Violations

Darren Ting Suspended from Securities Industry by FINRA for Various Sales Practice Violations

By Kevin J. Deloatch, Esq.|2023-12-18T12:22:47-05:00December 18th, 2023|Tags: AWC, customer account, customer complaint, Darren Ting, Department of Enforcement, discretionary, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), FINRA Rule 4511, fraud, Have you lost money, J.P.Morgan, Letter of Acceptance Waiver and Consent, Merrill Lynch Pierce Fenner, mismarking order tickets, sales practice violations, securities industry, securities law, securities law practice, suspended, suspension, unauthorized trading, written authorization|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Darren Ting (CRD # 681403) was recently suspended from the securities industry [...]

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Arthur McQuaide Suspended from Securities Industry by FINRA for Churning

Arthur McQuaide Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2023-12-08T15:07:29-05:00December 8th, 2023|Tags: account, arbitration, Arthur McQuaide, AWC, Caldwell International Securities, churning, complaint, customer, De facto control, Department of Enforcement, excessive trading, excessively trading, FINRA, FINRA Rule 201, FINRA Rule 2111, fraud, Have you lost money, high frequency, Inc., Letter of Acceptance Waiver and Consent, misrepresentation, N.C., Quantitatively unsuitable, securities industry, securities law, Southeast Investments, Spartan Capital Securities, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Arthur Mcquaide (CRD # 4581876) was recently suspended from the securities industry [...]

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Matthew Mierzycki Suspended from Securities Industry by FINRA for Unauthorized Trades

Matthew Mierzycki Suspended from Securities Industry by FINRA for Unauthorized Trades

By Kevin J. Deloatch, Esq.|2023-12-06T08:52:55-05:00December 6th, 2023|Tags: arbitration, AWC, customer account, customer complaint, Department of Enforcement, fine, FINRA, FINRA Rule 1122, FINRA Rule 2010, FINRA Rule 3260(b), fraud, Matthew Mierzycki, sales practice, securities industry, securities practice, suspended, U5, unauthorized trades, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Matthew Mierzycki (CRD # 6102769) was recently suspended from the securities industry [...]

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Robert Clayton, Jr. Suspended from Securities Industry by FINRA for Mismarking Order Tickets

Robert Clayton, Jr. Suspended from Securities Industry by FINRA for Mismarking Order Tickets

By Kevin J. Deloatch, Esq.|2023-11-30T12:59:13-05:00November 30th, 2023|Tags: arbitration, AWC, customer complaint, Department of Enforcement, fine, FINRA, FINRA Rule 2010, FINRA Rule 4511, fraud, IC Advisory Services, Investment Center, Letter of Acceptance Waiver and Consent, mismarked, mismarking order tickets, MML Investors Services, order tickets, Robert Clayton, sales practice, securities industry, securities law practice, solicited, suspended, TFS Advisory Services, unsolicited, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert Clayton, Jr. (CRD # 2598586) was recently suspended from the securities [...]

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