Fraud | New York Criminal & Securities Attorney

Brett Briggs Barred from the Securities Industry for Failure to Supervise by FINRA

Brett Briggs Barred from the Securities Industry for Failure to Supervise by FINRA

By Kevin J. Deloatch, Esq.|2021-03-26T10:30:35-05:00December 22nd, 2020|Tags: adviser, arbitration, AWC, bar, barred, breach of fiduciary duty, Brett Briggs, broker, churning, customer complaint, customer complaints, excessive trading, failure to supervise, Financial West Group, fine, fined, FINRA, First Allied Securities, fraud, NASD, negligence, OSJ, sanction, sanctioned, securities industry, suitability, The Shemano Group, unauthorized trading, unsuitable recommendations, Western International Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that former broker/adviser Brett Briggs (CRD # 1226255) was recently barred from the securities [...]

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Michael Magill Barred from the Securities Industry by FINRA

Michael Magill Barred from the Securities Industry by FINRA

By Kevin J. Deloatch, Esq.|2020-12-14T15:49:59-05:00December 14th, 2020|Tags: adviser, arbitration, arbitrations, AWC, barr, barred, broker, conspiracy, Crossroads Capital Distributors, customer complaint, customer complaints, FINRA, FINRA investigation, Foreside Fund Services, fraud, investigation, Janus Distributors, Michael Edward Magill, Michael Magill, private securities, sanction, sanctioned, securities, selling away, wire fraud|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that former broker/adviser Michael Edward Magill (CRD # 2024663) was recently barred from the [...]

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Have You Lost Money From Your Broker Engaging In Selling Away?

Have You Lost Money From Your Broker Engaging In Selling Away?

By Kevin J. Deloatch, Esq.|2020-12-10T11:28:13-05:00December 10th, 2020|Tags: advisor, broker, broker-dealer, brokerage firm, conflict of interest, failure to supervise, FINRA, fraud, lost, lost money, sales practice, sales practice violations, selling away, stockbroker, unsuitability, unsuitable recommendation|

Have you lost money in a “hot new investment with great returns” recommended by your broker just to later find out it wasn’t even a product [...]

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David Phillips Suspended from the Securities Industry by FINRA

David Phillips Suspended from the Securities Industry by FINRA

By Kevin J. Deloatch, Esq.|2020-11-25T07:45:30-05:00November 25th, 2020|Tags: arbitration, arbitrations, customer complaints, David Phillips, fine, fined, FINRA, FIP, fraud, Future Income Payments, investigation, Maloney Securities, misrepresentation, private offering, private placement, ProEquities, sanction, sanctioned, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser David Phillips (CRD # 3094195) was recently suspended from the securities industry [...]

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Ivan Shore Recently Suspended from the Securities Industry by FINRA

Ivan Shore Recently Suspended from the Securities Industry by FINRA

By Kevin J. Deloatch, Esq.|2020-11-18T12:40:22-05:00November 16th, 2020|Tags: churning, customer accounts, customer complaints, excessive trading, fine, FINRA, First Albany Corporation, Gruntal & Co., investigation, Ivan Shore, Jackson & Curtis Inc., Oppenheimer & Co., Paine, sanctions, suspended, suspension, UIT, UIT's, unit investment trust, unit investment trusts, Webber|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Ivan Shore (CRD # 1012943) was recently suspended from the securities industry [...]

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Lucas Mandon King Barred from the Securities Industry by FINRA

Lucas Mandon King Barred from the Securities Industry by FINRA

By Kevin J. Deloatch, Esq.|2020-12-22T19:03:42-05:00November 15th, 2020|Tags: bar, barred, client funds, conversion, customer complaints, FINRA, investigation, Lucas King, Lucas Mandon King, securities industry, State Farm, theft, variable contracts|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Lucas Mandon King (CRD # 6424176) was recently barred from the securities [...]

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Lawrence Goldstein Barred from the Securities Industry by FINRA

Lawrence Goldstein Barred from the Securities Industry by FINRA

By Kevin J. Deloatch, Esq.|2020-11-15T10:16:10-05:00November 14th, 2020|Tags: AWC, bar, barred, churning, customer accounts, customer complaints, excessive trading, FINRA, investigation, JHS Capital Advisors, Lawrence Goldstein, McNally Financial Services Corporation, sanction, securities industry, Sterling Financial Investment Group, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Lawrence Goldstein (CRD # 2282699) was recently barred from the securities industry [...]

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Jeffrey Broten Barred from the Securities Industry by FINRA

Jeffrey Broten Barred from the Securities Industry by FINRA

By Kevin J. Deloatch, Esq.|2020-10-21T15:18:24-05:00October 21st, 2020|Tags: adviser, arbitrations, AWC, bar, barred, broker, churining, customer accounts, customer complaints, excessive trading, FINRA, First Standard Financial Company, fraud, investigation, investment adviser, Jeffrey A. Broten, Jeffrey Broten, National Securities Corporation, Newbridge Securities Corporation, sanctioned, sanctions, stockbroker, unauthorized, unauthorized trading, unsuitable recommendations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser Jeffrey A. Broten (CRD # 1006678) was recently barred from the [...]

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Lonna Rae Dehn Ristvedt Suspended from the Securities Industry by FINRA

Lonna Rae Dehn Ristvedt Suspended from the Securities Industry by FINRA

By Kevin J. Deloatch, Esq.|2020-10-21T10:30:46-05:00October 21st, 2020|Tags: AWC, customer complaints, Farmers Financial Solutions, FINRA, FIP, fraud, Future Income Payments, investigation, Lonna Rae Dehn, Lonna Rae Dehn Ristvedt, Lonna Rae Spitzer, LPL Financial, NASD, National Planning Corporation, pension stream, sanctioned, Scott A. Kohn, Scott Kohn, stockbroker fraud, structured cash flow, suspended, suspension|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Lonna Rae Dehn Ristvedt (aka Lonna R. Dehn; Lonna Rae Dehn; Lonna [...]

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Paul F. Seymour Suspended from the Securities Industry by FINRA

Paul F. Seymour Suspended from the Securities Industry by FINRA

By Kevin J. Deloatch, Esq.|2020-10-19T18:05:12-05:00October 19th, 2020|Tags: Cadaret Grant, discretion, Equity Services, FINRA, FINRA investigation, fraud, NASD, New England Securities, Paul F. Seymour, Pruco Securities Corporation, sanctioned, securities fraud, stockbroker fraud, suspended, unauthorized, unsuitable recommendations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser, Paul F. Seymour (CRD # 2002154) was recently suspended from the securities [...]

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