Fraud | New York Criminal & Securities Attorney

Matthew Clason Barred from Securities Industry by SEC After Pleading Guilty to Criminal Conduct

Matthew Clason Barred from Securities Industry by SEC After Pleading Guilty to Criminal Conduct

By Kevin J. Deloatch, Esq.|2021-08-22T07:02:35-05:00August 21st, 2021|Tags: adviser, advisor, barred, broker, Criminal conduct, FINRA, guilty plea, Integrated Wealth Concepts LLC, Lincoln Financial Advisors, LPL Financial, Matthew Clason, pleading guilty, sanction, sanctioned, SEC, securities industry|

Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against broker/investment advisor, Matthew O. Clason (CRD # [...]

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John Cangialosi Suspended from Securities Industry by FINRA for Churning

John Cangialosi Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2021-08-16T10:29:26-05:00August 16th, 2021|Tags: AWC, broker, churning, customer accounts, customer complaints, Department of Enforcement, excessively, excessively trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, John Cangialosi, John Sebastian Cangialosi, misrepresentation, negligence, securities industry, suitability, suspended, traded, unauthorized trading, unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John Sebastian Cangialosi (CRD # 3273830) was recently suspended from the securities industry [...]

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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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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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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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Kevin David Barton Suspended from Securities Industry by FINRA for Sales Practice Violations

Kevin David Barton Suspended from Securities Industry by FINRA for Sales Practice Violations

By Kevin J. Deloatch, Esq.|2022-12-06T14:46:06-05:00May 1st, 2021|Tags: arbitration, AWC, Crown Capital Securities, customer complaint, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3260, FINRA Rule 3270, FINRA Rule 4511, fraud, Griffin Financial Services, investigation, Kevin Bartin, Kevin David Barton, losses, lost funds, NASD Rule 2510(b), sales practice, sales practice violation, securities industry, securities law practice, Wells Fargo Securities, WM Financial Services|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Kevin David Barton (CRD # 2542056) was recently suspended from the securities [...]

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Matthew Angelo Siliato Barred from Securities Industry After FINRA Investigation for Churning and Unauthorized Trading

Matthew Angelo Siliato Barred from Securities Industry After FINRA Investigation for Churning and Unauthorized Trading

By Kevin J. Deloatch, Esq.|2021-04-30T10:05:33-05:00April 30th, 2021|Tags: arbitration, AWC, bar, barred, churning, customer complaint, excessive trading, FINRA, FINRA Rule 2010, FINRA Rule 8210, follow instructions, fraud, investigation, Matthew Angelo Siliato, Matthew Siliato, securities industry, Spartan Capital Securities, suitability, unauthorized trading, unsuitability, Windsor Street Capital, Wynston Hill Capital|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Matthew Angelo Siliato (CRD # 5062153) was recently barred from the securities [...]

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Cambridge Investment Research, Inc. Sanctioned by FINRA for Failure to Supervise Sales of LJM Preservation & Growth Fund

Cambridge Investment Research, Inc. Sanctioned by FINRA for Failure to Supervise Sales of LJM Preservation & Growth Fund

By Kevin J. Deloatch, Esq.|2021-05-02T20:36:46-05:00April 1st, 2021|Tags: alternative mutual fund, alternative mutual funds, arbitration, AWC, broker-dealer, Cambridge Investment Research, censure, censured, complex product, customer complaint, customer complaints, failure to perform due diligence, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, fraud, investigation, LJM Preservation & Growth Fund, mutual fund, mutual funds, NASD, NASD Rule 3010, restitution, uncovered options|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Cambridge Investment Research, Inc. (CRD # 39543) was recently sanctioned by FINRA’s [...]

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