Fraud | New York Criminal & Securities Attorney

Christopher Polinaire Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

Christopher Polinaire Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

By Kevin J. Deloatch, Esq.|2022-11-06T19:00:31-05:00November 6th, 2022|Tags: advisor, Alexander, Arive Capital Markets, AWC, broker, Christopher Polinaire, churning, customer accounts, Department of Enforcement, excessive, excessively, fine, fined, FINRA, FINRA Department of Enforcement, FINRA Rule 2010, FINRA Rule 2111, First Standard Financial Company, fraud, investigation, Network 1 Financial Securities, sanction, securities, securities industry, securities law, suitability, suspended, trading, unsuitable, Unsuitably, violations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Christopher Alexander Polinaire (CRD # 4330879) was recently suspended from the securities [...]

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Miche Jean Suspended from Securities Industry by FINRA for Unauthorized Discretion

Miche Jean Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-09-27T14:25:12-05:00September 27th, 2022|Tags: advisor, AWC, broker, BrokerCheck, customer account, Department of Enforcement, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260, FINRA Rule 4511, fraud, Jean Miche, Morgan Stanley, Northwestern Mutual Investment Services, Northwestern Mutual Life Insurance Company, securities industry, suspended, suspension, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Miche Jean (CRD # 5918186) was recently suspended from the securities industry [...]

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Russ Kory Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Russ Kory Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2022-09-04T14:24:03-05:00September 4th, 2022|Tags: advisor, arbitration, AWC, breach of fiduciary duty, broker, customer complaint, David Lerner Associates, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, industry, investment, limited partnership, misrepresentation, recommendations, Russ Kory, sanction, securities, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Russ Kory (CRD # 5901185) was recently suspended from the securities industry [...]

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Joseph Ambrosole Barred from Securities Industry by FINRA Regarding Investigation of Unsuitable Trading

Joseph Ambrosole Barred from Securities Industry by FINRA Regarding Investigation of Unsuitable Trading

By Kevin J. Deloatch, Esq.|2022-08-09T19:11:52-05:00August 9th, 2022|Tags: advisor, Alexander Capital, AWC, bar, barred, broker, churning, customer account, customer accounts, Department of Enforcement, excessive trading, FINRA, FINRA Rule 2010, FINRA Rule 8210, investigation, Joseph Ambrosole, Joseph Stone Capital, Meyers Associates, securities industry, unauthorized, unsuitable trading|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Joseph A. Ambrosole (CRD # 5732488) was recently barred from the securities industry [...]

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James Pecoraro Suspended from Securities Industry by FINRA for Churning

James Pecoraro Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-08-07T16:10:42-05:00August 7th, 2022|Tags: advisor, arbitration, AWC, breach of fiduciary duty, broker, churning, customer account, customer complaint, Department of Enforcement, excessive, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Harrison Securities, investigation, James Pecoraro, misrepresentation, negligence, Primary Capital, Quantitatively unsuitable, Rockwell Global Capital, sanction, securities industry, Spartan Capital Securities, suspended, SW Financial, unauthorized, unauthorized transactions, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, James Pecoraro (CRD # 2440231) was recently suspended from the securities industry [...]

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National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

By Kevin J. Deloatch, Esq.|2022-06-26T17:42:34-05:00June 26th, 2022|Tags: arbitration, AWC, breach of contract, breach of fiduciary duty, censure, customer complaint, Department of Enforcement, disgorgement, failure to supervise, fine, FINRA, FINRA Rule 2010, FINRA Rule 2262, FINRA Rule 3010, FINRA Rule 3110, FINRA Rule 5131, fraud, multiple, National Securities Corporation, negligence, NSC, private placement, Reasonably supervise, red flags, restitution, sanctioned, SEC, Securities and Exchange Commission, suitability, unauthorized trading, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, National Securities Corporation (CRD # 7569) was recently sanctioned by FINRA’s Department [...]

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McDonald Partners LLC Sanctioned by FINRA for Failure to Perform Due Diligence on Private Placement Offering

McDonald Partners LLC Sanctioned by FINRA for Failure to Perform Due Diligence on Private Placement Offering

By Kevin J. Deloatch, Esq.|2022-06-24T08:08:57-05:00June 24th, 2022|Tags: arbitration, AWC, breach of contract, breach of fiduciary duty, censure, customer complaint, Department of Enforcement, due diligence, failure, failure to perform due diligence, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, fraud, investigation, McDonald Partners, negligence, private placement, restitution, sales practice violation, sanctioned, securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, McDonald Partners LLC (CRD # 135414) was recently sanctioned by FINRA’s Department [...]

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Charles Baker Barred from Securities Industry by FINRA After Investigation

Charles Baker Barred from Securities Industry by FINRA After Investigation

By Kevin J. Deloatch, Esq.|2022-06-16T19:46:34-05:00June 16th, 2022|Tags: arbitration, AWC, bar, barred, Charles Baker, commercial honor, customer complaint, Dean Witter Reynolds, Department of Enforcement, discretionary, E.F. Hutton, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, Richfield Orion International, Ronald, securities industry, securities law, trading, unsuitable, WFG Investments|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Charles Ronald Baker (CRD # 10600) was recently barred from the securities [...]

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Blakely Page Suspended from Securities Industry by FINRA for Negligent Misrepresentation

Blakely Page Suspended from Securities Industry by FINRA for Negligent Misrepresentation

By Kevin J. Deloatch, Esq.|2022-06-15T17:10:24-05:00June 15th, 2022|Tags: adviser fraud, AWC, Banc of America Securities, Blakely Page, Cascade Financial Management, customer complaint, Department of Enforcement, feeder fund, fine, fined, FINRA, FINRA Rule 2010, fraud, investigation, investment fund, master fund, misrepresentation, negligent, sanction, securities industry, Spouting Rock Capital Advisors, suspended|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Blakely Page (CRD # 2922955) was recently suspended from the securities industry [...]

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Ian Phillip Lowrey Suspended from Securities Industry by FINRA for Churning

Ian Phillip Lowrey Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-06-14T18:21:27-05:00June 14th, 2022|Tags: AWC, churning, complaint, customer arbitration, customer complaint, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, Ian Lowrey, investigation, Joseph Gunnar, Joseph Gunnar & Co., Phillip, securities, securities industry, Spartan Capital Securities, suspended, unsuitable, Wynston Hill Capital|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Ian Phillip Lowrey (CRD # 6367392) was recently suspended from the securities [...]

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