Fraud | New York Criminal & Securities Attorney

Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

Palmery Robert Desir (a/k/a Paul Desir) Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-06-13T11:02:49-05:00June 13th, 2022|Tags: a/k/a, AWC, churning, Craig Scott Capital, customer complaints, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investigation, Joseph Stone Capital, Paul Desir, Paulmery Robert Desir, Richfield Orion International, Rothschild Lieberman LLC, sanction, securities industry, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Palmery Robert Desir, a/k/a Paul Desir (CRD # 5559016) was recently suspended [...]

0

Walter Waitak Light Suspended from Securities Industry by FINRA for Unauthorized Discretion

Walter Waitak Light Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-06-12T12:48:51-05:00June 12th, 2022|Tags: AWC, customer complaints, Darnall Kemna and Co., Department of Enforcement, fine, fined, FINRA, fraud, investigation, Light Securities, regulatory actions, Rule 2010, Rule 3260, sanction, sanctioned, securities industry, suspended, Treasure Financial Corp., unauthorized discretion, Walter Light, Walter Waitak Light|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Walter Waitak Light (CRD # 1494331) was recently suspended from the securities [...]

0

Robert David Suspended from Securities Industry by FINRA for Falsifying Customer Information

Robert David Suspended from Securities Industry by FINRA for Falsifying Customer Information

By Kevin J. Deloatch, Esq.|2022-04-09T19:43:27-05:00April 9th, 2022|Tags: advisor, arbitration, AWC, broker, Citigroup Global Markets, customer complaint, Department of Enforcement, failure to follow instructions, falsifying customer information, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 2510(b), fraud, investigation, misrepresentation, Morgan Stanley, Robert David, sanction, securities industry, settled, suspend, suspended, suspension, unauthorized discretion, unsuitable recommendations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert David, Jr. (CRD # 5211223) was recently suspended from the securities [...]

0

William Nicholas Athas Barred from Securities Industry by FINRA for Churning and Suitability

William Nicholas Athas Barred from Securities Industry by FINRA for Churning and Suitability

By Kevin J. Deloatch, Esq.|2022-02-10T09:08:57-05:00February 10th, 2022|Tags: 10b-5, arbitration, bar, barred, churning, customer complaint, Department of Enforcement, disciplinary proceedings, excessive trading, FINRA, FINRA Rule 2010, FINRA Rule 2020, FINRA Rule 2111, K.C. Ward Financial, Liberty Partners Financial Services, misrepresentation, negligence, Nicholas, ODA, Rule 10b-5, Securities Exchange Act of 1934, securities industry, suitability, SW Financial, unauthorized trading, unsuitability, unsuitable, violation, William Athas, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, William Nicholas Athas (CRD # 3165470) was recently barred from the securities industry by [...]

0

Dennis Ayer Barred from Securities Industry by FINRA After Suitability Investigation

Dennis Ayer Barred from Securities Industry by FINRA After Suitability Investigation

By Kevin J. Deloatch, Esq.|2022-01-30T10:42:22-05:00January 30th, 2022|Tags: adviser, advisor, AWC, bar, barred, broker, customer account, customer complaint, Dennis Ayer, Department of Enforcement, failure to cooperate, FINRA, FINRA Rule 2010, FINRA Rule 8210, Hilltop Securities, Integrated Advisors Network, investigation, Merrill Lynch Pierce Fenner, on-the-record testimony, Oppenheimer, Penguin Capital Management, Phillip, securities industry, settled, suitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Dennis Ayer (CRD # 5365176) was recently barred from the securities industry by FINRA’s [...]

0

Joseph LaScala, Jr. Suspended by FINRA from Securities Industry for Churning and Unauthorized Discretion

Joseph LaScala, Jr. Suspended by FINRA from Securities Industry for Churning and Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-01-26T19:50:29-05:00January 26th, 2022|Tags: advisor, Aegis Capital Corp, AWC, Brian, broker, churning, customer account, customer complaint, Department of Enforcement, excessive, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, Gunallen Financial, investigation, Joseph LaScala, Jr., NASD, NASD Rule 2510(b), Paulson Investment Company, Quantitatively unsuitable, sanction, securities industry, suspended, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joseph LaScala, Jr. (CRD # 3070261) was recently suspended from the securities industry by [...]

0

Alan Feigenbaum Suspended from Securities Industry by FINRA for Unauthorized Discretion

Alan Feigenbaum Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-01-17T15:37:26-05:00December 15th, 2021|Tags: advisor, Alan Feigenbaum, Alan Scot Feigenbaum, AWC, broker, Department of Enforcement, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3260, FINRA Rule 4511, fraud, misrepresentation, NASD Rule 2510, National Securities Corporation, negligence, Newbridge Securities Corporation, Prime Capital Services, sanction, sanctioned, securities industry, securities law, suitability, suspended, unauthorized discretion, unauthorized trading|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Alan Scot Feigenbaum (CRD # 3132230) was recently suspended from the securities industry [...]

0

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 [...]

0

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 [...]

0

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 [...]

0