Misrepresentation | New York Criminal & Securities Attorney

The Law Office of Kevin J. Deloatch, Esq. Investigating Pre-IPOs Through Boustead Securities, LLC and Sutter Securities, Inc.

The Law Office of Kevin J. Deloatch, Esq. Investigating Pre-IPOs Through Boustead Securities, LLC and Sutter Securities, Inc.

By Kevin J. Deloatch, Esq.|2026-03-22T13:09:36-05:00January 29th, 2026|Tags: Boustead Securities, conflicts of interest, experience, Financial Industry Regulatory Authority, FINRA, FINRA Rule 2111, fraud, Have you lost money, illiquid, initial public offering, investment experience, investment objectives, IPO, IPOs, lost money, Pre-IPO, Pre-IPOs, private placement, Reg BI, reg. D, Regulation Best Interest, regulation D, risk tolerance, SEC, secondary market, Securities Act of 1933, Securities and Exchange Commission, securities fraud, securities practice, suitability, Sutter Securities, unsuitable, unsuitable recommendation|

The Law Office of Kevin J. Deloatch, Esq. is currently investigating the recommended purchases of Pre-IPOs or private placement securities through Boustead Securities, LLC (CRD# 141391) [...]

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Lon Charles Faccini Suspended from Securities Industry by FINRA for Churning

Lon Charles Faccini Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2023-04-16T12:04:58-05:00April 16th, 2023|Tags: arbitration, Arrive Capital Markets, award, AWC, breach of fiduciary duty, Cape Securities, churning, customer complaint, Department of Enforcement, excessive, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Letter of Acceptance Waiver and Consent, Liberty Partners Financial Services, Lon Charles Faccini, misrepresentation, negligent, securities industry, settled, suspended, trading, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Lon Charles Faccini, Jr. (a/k/a Lon Charles Faccini) (CRD # 2736849) was [...]

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Moloney Securities Sanctioned by FINRA for Its Sales of GPB Capital Holdings to Customers

Moloney Securities Sanctioned by FINRA for Its Sales of GPB Capital Holdings to Customers

By Kevin J. Deloatch, Esq.|2022-12-28T18:00:02-05:00December 28th, 2022|Tags: Advisors Act, arbitration, audited financial statements, automotive portfolio, AWC, censure, churning, concentration, customer complaint, customers, Department of Enforcement, failure to supervise, FINRA, FINRA Rule 2010, fraud, GPB Capital, GPB Capital Holdings, high-risk products, Holdings II, investigation, lost money, misrepresentation, Moloney Securities, negligence, regulatory action, sales, sales practice, sanctioned, SEC, securities industry, settlement, suitability, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Moloney Securities Co., Inc. (CRD # 38535) was recently sanctioned by FINRA’s [...]

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Michael G. DeLuca Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

Michael G. DeLuca Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

By Kevin J. Deloatch, Esq.|2022-12-12T23:31:44-05:00December 12th, 2022|Tags: arbitration, AWC, customer complaint, Department of Enforcement, failure to supervise, fine, FINRA, FINRA Rule 2010, FINRA Rule 2330, FINRA Rule 3110, Fortune Financial Services, fraud, investigate, investigation, investments, Law Office, losses, lost funds, Michael DeLuca, misrepresentation, new account document, Prosperity Wealth Management, red flags, sales practice violations, securities industry, securities law, securities law practice, suitability, suitable, surrender charge, suspended, USA Financial Securities, USA Financial Securities Corporation, variable annuities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Michael G. DeLuca (CRD # 4428054) was recently suspended from the securities [...]

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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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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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Eric Willer Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Eric Willer Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2021-12-17T10:32:41-05:00December 17th, 2021|Tags: advisor, AWC, broker, customer account, customer accounts, customer complaint, customer complaints, Department of Enforcement, due diligence, Eric Carl Willer, Eric Willer, fine, fined, FINRA, fraud, Fusion Analytics Securities, investigation, Kestra Investment Services, misrepresentation, Misreprsented, private placement, recommendation, recommendations, securities industry, suitability, suspended, suspension, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Eric Carl Willer (CRD # 2263899) was recently suspended from the securities industry [...]

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Growth Capital Services, Inc. Sanctioned by FINRA Over Private Placement Offerings

Growth Capital Services, Inc. Sanctioned by FINRA Over Private Placement Offerings

By Kevin J. Deloatch, Esq.|2021-01-20T14:08:54-05:00January 20th, 2021|Tags: censure, censured, customer complaints, fine, fined, FINRA, Growth Capital Services, illiquid, private placement, private placement memorandum, risky investment, sanctioned, securities, speculative|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer/investment adviser, Growth Capital Services, Inc. (CRD # 124658) was recently sanctioned by [...]

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FINRA Brings Disciplinary Proceedings Against Steven Robert Luftschein

FINRA Brings Disciplinary Proceedings Against Steven Robert Luftschein

By Kevin J. Deloatch, Esq.|2020-05-24T17:19:04-05:00May 17th, 2020|Tags: churning, customer complaints, disciplinary proceedings, excessive trading, FINRA, fraud, Robert Luftschein, securities industry, Steven Luftschein, Steven Robert Luftschein, stock broker, stockbroker, unsuitable, violations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement has brought disciplinary proceedings against broker/advisor Steven Robert Luftschein [...]

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Mack Leon Miller Suspended by FINRA for Excessive and Unsuitable Trading

Mack Leon Miller Suspended by FINRA for Excessive and Unsuitable Trading

By Kevin J. Deloatch, Esq.|2020-04-10T17:07:52-05:00April 10th, 2020|Tags: broker fraud, customer complaints, financial fraud, fined, FINRA, fraud, Mack Leon Miller, sanctioned, sanctiones, securities, securities fraud, securities violations, stockbroker fraud, suspended|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Mack Leon Miller (CRD # 2822317) was recently suspended from the securities [...]

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