Private Placements | New York Criminal & Securities Attorney

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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Frederick Joseph Rock Suspended by FINRA from Securities Industry for Unapproved Sales of Private Placement Securities

Frederick Joseph Rock Suspended by FINRA from Securities Industry for Unapproved Sales of Private Placement Securities

By Kevin J. Deloatch, Esq.|2021-04-27T14:28:06-05:00April 27th, 2021|Tags: arbitration, AWC, customer complaint, Fifth Third Securities, fined, FINRA, FINRA Rule 2010, FINRA Rule 3280, fraud, Frederick Joseph Rock, private placement, Pruco Securities, securities industry, suspend, suspended, unapproved, Uvest Financial Services Group|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Frederick Joseph Rock (CRD # 2548242) was recently suspended from the securities [...]

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David Zuber Barred by FINRA From Securities Industry After Investigation of Private Securities Offering

David Zuber Barred by FINRA From Securities Industry After Investigation of Private Securities Offering

By Kevin J. Deloatch, Esq.|2021-04-25T17:33:08-05:00April 25th, 2021|Tags: arbitrations, AWC, bar, customer complaints, David Zuber, FINRA, FINRA Rule 2010, FINRA Rule 8210, investigation, private placements, private securities, QA3 Financial Corp, securities, Securities America, securities industry, termination, WRP Investments|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, David B. Zuber (CRD # 3239595) was recently barred from the securities [...]

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Louis Olave Suspended by FINRA From Securities Industry for Unapproved Sales of Future Income Payments, LLC

Louis Olave Suspended by FINRA From Securities Industry for Unapproved Sales of Future Income Payments, LLC

By Kevin J. Deloatch, Esq.|2021-04-12T19:34:11-05:00April 12th, 2021|Tags: arbitration, AWC, customer complaints, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3280, FIP, fraud, Future Income Payments, Lincoln Investment, Louis Olave, negligencce, private equity, private placement, private securities, ProEquities, Questar Capital Corporation, sanction, suspension, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Louis M. Olave (CRD # 5904834) was recently suspended from the securities [...]

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Dalmore Group LLC Sanctioned by FINRA for Failure to Supervise Private Placement Offerings

Dalmore Group LLC Sanctioned by FINRA for Failure to Supervise Private Placement Offerings

By Kevin J. Deloatch, Esq.|2021-03-23T17:23:31-05:00March 23rd, 2021|Tags: AWC, censure, censured, customer complaints, Dalmore Group, Dalmore Group LLC, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 5123, private placement, private placements, securities offering|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Dalmore Group LLC (CRD # 136352) was recently sanctioned by FINRA’s Department [...]

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Tonya Smoake Suspended by FINRA from Securities Industry For Unapproved Private Securities Sales

Tonya Smoake Suspended by FINRA from Securities Industry For Unapproved Private Securities Sales

By Kevin J. Deloatch, Esq.|2021-03-18T16:54:47-05:00March 18th, 2021|Tags: adviser, AWC, Bhargava Capital, broker, customer complaints, fine, FINRA, FINRA Rule 2010, FINRA Rule 3280, fraud, investigation, Merrill Lynch Pierce Fenner, private securities, Purshe Kaplan Sterling Investments, sanction, sanctioned, Tonya Nicole Smoake, Tonya Smoake|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser Tonya Nicole Smoake (CRD # 4985049) was recently suspended from the securities [...]

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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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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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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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