Private Placements | New York Criminal & Securities Attorney

Boustead Securities, LLC Sanctioned by FINRA After Investigation Regarding Supervisory System and Private Placements

Boustead Securities, LLC Sanctioned by FINRA After Investigation Regarding Supervisory System and Private Placements

By Kevin J. Deloatch, Esq.|2022-11-16T16:23:23-05:00November 16th, 2022|Tags: acceptance waiver and consent, accredited investor, AWC, Boustead Securities, censure, customer, customer complaint, Department of Enforcement, fine, fined, FINRA, FINRA 2210, FINRA Rule 2111, FINRA Rule 3110, FINRA Rule 4512, FINRA Rule 5510, fraud, investigation, issuer, offering, participation, private placement, private placements, questionnaire, sanction, sanctioned, securities law, subscription agreement, supervisory system, violated, written supervisory procedures|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Boustead Securities, LLC (CRD # 141391) was recently sanctioned by FINRA’s Department [...]

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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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McDonald Partners LLC Sanctioned by FINRA for Failure to Perform Due Diligence on Private Placement Offering

McDonald Partners LLC Sanctioned by FINRA for Failure to Perform Due Diligence on Private Placement Offering

By Kevin J. Deloatch, Esq.|2022-06-24T08:08:57-05:00June 24th, 2022|Tags: arbitration, AWC, breach of contract, breach of fiduciary duty, censure, customer complaint, Department of Enforcement, due diligence, failure, failure to perform due diligence, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, fraud, investigation, McDonald Partners, negligence, private placement, restitution, sales practice violation, sanctioned, securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, McDonald Partners LLC (CRD # 135414) was recently sanctioned by FINRA’s Department [...]

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Torch Securities, LLC Sanctioned by FINRA Regarding Due Diligence and Supervision Failures

Torch Securities, LLC Sanctioned by FINRA Regarding Due Diligence and Supervision Failures

By Kevin J. Deloatch, Esq.|2022-06-22T13:34:38-05:00June 22nd, 2022|Tags: AWC, censure, customer, customer complaints, Department of Enforcement, due diligence, failure, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, investigation, private placement, private placements, red flags, sanctioned, supervise, supervision, Torch Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Torch Securities, LLC (CRD # 133642) was recently sanctioned by FINRA’s Department [...]

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CIM Securities, LLC Sanctioned by FINRA for Failure to Supervise Private Placement Offerings

CIM Securities, LLC Sanctioned by FINRA for Failure to Supervise Private Placement Offerings

By Kevin J. Deloatch, Esq.|2022-02-01T21:38:45-05:00February 1st, 2022|Tags: AWC, censure, CIM Securities, complaints, Department of Enforcement, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3110, investigation, private placement, sanction, sanctioned, securities, supervisory system, written supervisory procedures, WSP, WSPs|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, CIM Securities, LLC (CRD # 120852) was recently sanctioned by FINRA’s Department [...]

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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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Cynthia Komarek Barred from The Securities Industry by FINRA for Refusing to Cooperate In Investigation

Cynthia Komarek Barred from The Securities Industry by FINRA for Refusing to Cooperate In Investigation

By Kevin J. Deloatch, Esq.|2021-06-17T13:31:00-05:00June 17th, 2021|Tags: arbitration, AWC, bar, barred, customer complaint, Cynthia Komarek, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, Merrill Lynch Pierce Fenner, SagePoint Financial, sanction, sanctioned, securities law, Wells Fargo Clearing Services|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Cynthia Komarek (CRD # 1188714) was recently barred from the securities industry by FINRA’s [...]

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Grant C. Birkley Barred from Securities Industry by FINRA for Refusing to Cooperate In Investigation

Grant C. Birkley Barred from Securities Industry by FINRA for Refusing to Cooperate In Investigation

By Kevin J. Deloatch, Esq.|2021-06-16T19:06:59-05:00June 16th, 2021|Tags: arbitration, AWC, bar, barred, customer complaint, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, Grant Birkley, investigation, Merrill Lynch Pierce Fenner, SagePoint Financial, securities, securities law, Wells Fargo Clearing Services|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Grant C. Birkley (CRD # 2933533) was recently barred from the securities industry by [...]

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Bradley Woods & Co. Ltd. Sanctioned by FINRA Regarding Failure to Supervise and Private Placement Securities

Bradley Woods & Co. Ltd. Sanctioned by FINRA Regarding Failure to Supervise and Private Placement Securities

By Kevin J. Deloatch, Esq.|2021-06-01T14:13:22-05:00June 1st, 2021|Tags: AWC, Bradley Woods, Bradley Woods & Co. Ltd., customer complaints, Daniel Ripp, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, FINRA Rule 5123, investigation, outside business, private placement, regulatory action, sanction, sanctioned, securities, supervise|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Bradley Woods & Co. Ltd. (CRD # 13660) was recently sanctioned by [...]

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John Lee Scott Barred from Securities Industry After FINRA Investigation Into Private Placements

John Lee Scott Barred from Securities Industry After FINRA Investigation Into Private Placements

By Kevin J. Deloatch, Esq.|2021-04-30T16:28:53-05:00April 30th, 2021|Tags: arbitration, AWC, broker, customer complaint, failure to cooperate, Financial Telesis, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, John Lee Scott, John Scott, LPL Financial, private placement, sales practice violation, securities industry|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John Lee Scott (CRD # 2407610) was recently barred from the securities [...]

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