Fraud | New York Criminal & Securities Attorney

The SEC Files Civil Suit Against Individual for Social Media Securities Fraud

The SEC Files Civil Suit Against Individual for Social Media Securities Fraud

By Kevin J. Deloatch, Esq.|2021-03-26T12:00:49-05:00March 26th, 2021|Tags: AMC, AMC Entertainment, Andrew Fassari, Arcis Resources Corporation, ARCS, GameStop, GME, meme stocks, SEC, securities fraud, SNDL, Social Media, Sundial Growers|

The Securities and Exchange Commission (SEC) has been focusing its attention on the use of social media as a tool for securities fraud, in the wake [...]

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Richard Shelley Suspended by FINRA from Securities Industry

Richard Shelley Suspended by FINRA from Securities Industry

By Kevin J. Deloatch, Esq.|2021-03-08T19:55:03-05:00March 8th, 2021|Tags: acceptance waiver and consent, arbitration, arbitrations, customer arbitrations, customer complaints, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3280, FIP, fraud, Future Income Payments, investigation, Joseph Stevens & Company, Packerland Brokerage Services, private placement, private securities, Richard Scott Shelley, Richard Shelley, sanctioned, Scott A. Kohn, Scott Kohn|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser Richard Scott Shelley (CRD # 2671545) was recently suspended from the securities [...]

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Ryan Tarjanyi Barred by FINRA from Securities Industry for Fraud

Ryan Tarjanyi Barred by FINRA from Securities Industry for Fraud

By Kevin J. Deloatch, Esq.|2021-03-08T15:36:10-05:00March 8th, 2021|Tags: annuity, arbitration, arbitrations, AWC, Bankers Life Securities, bar, barred, customer complaint, customer complaints, FINRA, FINRA investigation, FINRA Rule 2010, FINRA Rule 8210, ProEquities, Ryan Owen Tarjanyi, Ryan Tarjanyi, sanctioned, sanctioned fined, santion, securities practice, Trustmont Financial Group|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that former broker Ryan Owen Tarjanyi (CRD # 6065805) was recently barred from the [...]

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Rhett Bedwell Barred by FINRA from Securities Industry for Fraud

Rhett Bedwell Barred by FINRA from Securities Industry for Fraud

By Kevin J. Deloatch, Esq.|2021-03-08T14:09:04-05:00March 3rd, 2021|Tags: annuity, arbitration, Arvest Wealth Management, AWC, bar, barred, CRD # 250, CRD # 42057, CRD # 5664392, CRD # 6413, customer complaint, Edward Jones, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, Investment Professionals, IRA, LPL Financial, Ponzi scheme, Rhett Douglas Bedwell, sanction, sanctioned, terminated|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that former broker/advisor Rhett Douglas Bedwell (CRD # 5664392) was recently barred from the [...]

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Jenny Xinfang Feng Suspended by FINRA from Securities Industry For Unethical Treatment of Elderly Customer

Jenny Xinfang Feng Suspended by FINRA from Securities Industry For Unethical Treatment of Elderly Customer

By Kevin J. Deloatch, Esq.|2021-02-20T16:09:48-05:00February 20th, 2021|Tags: annuity, customer accounts, customer arbitrations, customer complaints, elderly customer, fine, fined, FINRA, FINRA investigation, FINRA Rule 2010, fraud, Jenny Xinfang Feng, sanction, sanctioned, suspended, Transamerica, unethical treatment|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Jenny Xinfang Feng (CRD # 6312900) was recently suspended from the securities [...]

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Wenru Liang Suspended by FINRA from Securities Industry For Unethical Treatment of Elderly Customer

Wenru Liang Suspended by FINRA from Securities Industry For Unethical Treatment of Elderly Customer

By Kevin J. Deloatch, Esq.|2021-02-20T15:58:33-05:00February 20th, 2021|Tags: annuity, arbitration, arbitrations, AWC, beneficiary, customer account, customer complaint, customer complaints, elderly customer, fine, fined, FINRA, FINRA Rule 2010, fraud, investigation, sanction, sanctioned, suspended, Transamerica Financial, unethical treatment, variable annuity, Wenru Liang, World Group Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Wenru Liang (CRD # 5157279) was recently suspended from the securities industry [...]

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Bradley Goodbred Barred from the Securities Industry After FINRA Investigation

Bradley Goodbred Barred from the Securities Industry After FINRA Investigation

By Kevin J. Deloatch, Esq.|2021-02-17T21:10:23-05:00February 17th, 2021|Tags: arbitration, AWC, Banc One Securities, bar, barred, Bradley Goodbred, customer complaints, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, LPL Financial, power of attorney, sanction, sanctioned, sanctions, securities investigation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser Bradley Goodbred (CRD # 3184210) was recently barred from the securities industry [...]

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Social Media Driven Stock Market Frenzy – Securities Fraud In the Digital Age

Social Media Driven Stock Market Frenzy – Securities Fraud In the Digital Age

By Kevin J. Deloatch, Esq.|2021-02-04T10:45:37-05:00January 28th, 2021|Tags: 10(b), 10b-5, 1934, 9(a)(2), AMC, artifice, artifice to defraud, BB, BlackBerry, Charles Schwab, civil, criminal charges, device, digital age, Discord, Exchange Act, Facebook, FINRA, GameStop, GME, manipulation, market manipulation, message boards, on-line brokerage, Reddit, Robinhood, scheme, SEC, section 9(a)(2), securities fraud, Social Media, stock market, stock price manipulation, TD Ameritrade, Twitter|

GameStop Corp. (GME), AMC Entertainment Holdings (AMC) and BlackBerry Ltd. (BB) have seen their stock prices rise dramatically over the past few weeks after being the [...]

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Gary Hammond Barred from the Securities Industry by FINRA Over Private Placement Offerings

Gary Hammond Barred from the Securities Industry by FINRA Over Private Placement Offerings

By Kevin J. Deloatch, Esq.|2021-01-22T14:22:57-05:00January 22nd, 2021|Tags: acceptance waiver and consent, arbitration, AWC, barred, civil suit, customer complaint, customer complaints, FINRA, FINRA Rule 2010, FINRA Rule 3280, fraud, Gary Hammond, Gary Wayne Hammond, Horner Townsend & Kent, investigation, MML Investors, MML Investors Services, MSI Financial Services, NC, North Carolina, Ponzi scheme, private placement, private placements, sanctioned|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser Gary Hammond (CRD # 2660432) was recently barred from the securities industry [...]

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Christian Lucchetto Suspended from the Securities Industry by FINRA for Churning

Christian Lucchetto Suspended from the Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2021-01-21T15:32:15-05:00January 21st, 2021|Tags: arbitration, arbitrations, Arrive Capital Markets, Cape Securities Inc., Christian Frank Lucchetto, Christian Lucchetto, churning, customer complaints, excessive trading, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, First Standard Financial Company, fraud, investigation, Joseph Gunnar & Co., restitution, suitability, suspended, suspension, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Christian Frank Lucchetto (CRD # 4648994) was recently suspended from the securities [...]

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