Fraud | New York Criminal & Securities Attorney

FINRA Suspends William Morris from Securities Industry After Reg BI Investigation

FINRA Suspends William Morris from Securities Industry After Reg BI Investigation

By Kevin J. Deloatch, Esq.|2026-04-15T17:30:36-05:00April 15th, 2026|Tags: Associates, AWC, brokerage account, Calton, Cape Securities, customer complaint, Department of Enforcement, FINRA, FINRA Rule 2010, fraud, GWG, investigation, KCD Financial, KCD Financial Inc., L Bonds, lost money, negligencce, Reg BI, Regulation Best Interest, sales practice violations, securities industry, securities law, suspended, violation, William Morris|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, William Morris (CRD # 1793507) was recently suspended from the securities industry [...]

0

The Law Office of Kevin J. Deloatch, Esq. Investigating Pre-IPOs Through Boustead Securities, LLC and Sutter Securities, Inc.

The Law Office of Kevin J. Deloatch, Esq. Investigating Pre-IPOs Through Boustead Securities, LLC and Sutter Securities, Inc.

By Kevin J. Deloatch, Esq.|2026-03-22T13:09:36-05:00January 29th, 2026|Tags: Boustead Securities, conflicts of interest, experience, Financial Industry Regulatory Authority, FINRA, FINRA Rule 2111, fraud, Have you lost money, illiquid, initial public offering, investment experience, investment objectives, IPO, IPOs, lost money, Pre-IPO, Pre-IPOs, private placement, Reg BI, reg. D, Regulation Best Interest, regulation D, risk tolerance, SEC, secondary market, Securities Act of 1933, Securities and Exchange Commission, securities fraud, securities practice, suitability, Sutter Securities, unsuitable, unsuitable recommendation|

The Law Office of Kevin J. Deloatch, Esq. is currently investigating the recommended purchases of Pre-IPOs or private placement securities through Boustead Securities, LLC (CRD# 141391) [...]

0

James Holmes, III Suspended by FINRA from Securities Industry: Reg BI and Unauthorized Discretion

James Holmes, III Suspended by FINRA from Securities Industry: Reg BI and Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2025-11-28T11:12:48-05:00November 28th, 2025|Tags: acceptance waiver and consent, advisor, AWC, broker, customer complaints, Department of Enforcement, Deutsche Bank Securities, fine, FINRA, FINRA Rule 2010, FINRA Rule 2630, FINRA Rule 3260, FINRA Rule 4511, investigation, James Holmes, Reg BI, Regulation Best Interest, sales practice violation, securities industry, Stephens, suspended, suspension, unauthorized discretion, Wells Fargo Clearing Services|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, James Eugene Holmes, III (CRD # 2174697) was recently suspended from the [...]

0

Antonio Molinos Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Antonio Molinos Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2025-09-22T17:06:56-05:00September 22nd, 2025|Tags: advisor, Antonio Molinos, arbitration, AWC, best interest, broker, complaint, customer complaint, De facto control, Department of Enforcement, excessive, Exchange Rule 15, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, free consultation, investigation, Joseph Stone Capital, K.C. Ward Financial, Letter of Acceptance Waiver and Consent, lost money, PHX Financials, recommendations, sales practice violation, securities, securities industry, Spartan Capital Securities, standards of commercial honor, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Antonio Molinos (CRD # 2764977) was recently suspended from the securities industry by [...]

0

Zachary Ellis Taylor Suspended from Securities Industry by FINRA Unsuitable Recommendations

Zachary Ellis Taylor Suspended from Securities Industry by FINRA Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2025-09-19T14:36:51-05:00September 19th, 2025|Tags: arbitration, AWC, complaint, Department of Enforcement, FINRA, FINRA Rule 2010, FINRA Rule 2360, fraud, Letter of Acceptance Waiver and Consent, lost money, Merrill Lynch, Oppenheimer, Pierce Fenner, sales practice violation, Saxony Securities, securities industry, securities law, suspended, unsuitable, unsuitable recommendation, Wells Fargo Advisors, Zachary Ellis Taylor, Zachary Taylor|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Zachary Ellis Taylor (CRD # 6074776) was recently suspended from the securities industry [...]

0

Joseph Warner Rozof Suspended from Securities Industry by FINRA for Unauthorized Discretion

Joseph Warner Rozof Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2025-09-03T11:24:56-05:00September 3rd, 2025|Tags: advisor, arbitration, authorization, award waiver and consent, AWC, broker, brokerage account, churning, CRD # 14178, CRD # 15007, CRD #310046, customer complaint, damages, Department of Enforcement, discretionary trades, experience, extensive, fine, FINRA, FINRA Rule 3260(b), fraud, Harley Capital, investigation, investments, Joseph Warner Rozof, lost money, recover lost funds, Revere Securities, sales practice, securities industry, securities law, suspended, unauthorized discretion, violation, written authorization, written complaint, written supervisory procedures|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joseph Warner Rozof (CRD # 5274784) was recently suspended from the securities [...]

0

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 [...]

0

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 [...]

0

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 [...]

0

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 [...]

0