Unsuitability | New York Criminal & Securities Attorney

Yong Soo Kim and Kayan Securities, Inc. Sanctioned by FINRA for Failure to Supervise and Reg BI Violations

Yong Soo Kim and Kayan Securities, Inc. Sanctioned by FINRA for Failure to Supervise and Reg BI Violations

By Kevin J. Deloatch, Esq.|2024-05-29T11:29:25-05:00May 29th, 2024|Tags: arbitration, AWC, censure, churning, compliance, customer account, customer complaint, damages, Department of Enforcement, ETECH Securities, excessive trading, failure to supervise, fiduciary duty, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3110, fraud, HANMI Securities, Have you lost money, Inc., investigation, Kayan Securities, Letter of Acceptance Waiver and Consent, MITAA Global Securities, NASD Rule 1220(b), NASD Rule 2110, negligence, recover lost funds, Reg BI, Regulation BI, regulatory action, restitution, Rule 15I-1, sales practice violations, sanctioned, Securities Exchange Act of 1934, securities industry, securities law, securities law practice, suitability, suspension, trading, unauthorized, written supervisory procedures, WSP, Yong Soo Kim|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Yong Soo Kim (CRD # 1747849) and broker, Kayan Securities, Inc. (CRD [...]

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Alan Mason Suspended from Securities Industry by FINRA for Regulation BI Violation

Alan Mason Suspended from Securities Industry by FINRA for Regulation BI Violation

By Kevin J. Deloatch, Esq.|2024-06-06T11:20:20-05:00May 27th, 2024|Tags: Alan Mason, alleged damages, arbitration, AWC, Bradley Woods, concentration, customer account, customer complaint, customer-inititiated, Department of Enforcement, disgorgement, fine, FINRA, FINRA Rule 2010, fraud, Gruntal, Gunnallen Financial, Have you lost money, investigation, investment, Letter of Acceptance Waiver and Consent, recover lost funds, Reg BI, Regulation Best Interest, Regulation BI, sales practice, sales practice violation, securities exchange act, Securities Exchange Act of 1934, securities industry, securities law, securities law practice, suspended, unauthorized transactions, unsuitability, unsuitable recommendation, WestPark Capital, Wilmington Capital|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Alan Mason (CRD # 1302190) was recently suspended from the securities industry [...]

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Arive Capital Markets Sanctioned by FINRA for Failure to Supervise

Arive Capital Markets Sanctioned by FINRA for Failure to Supervise

By Kevin J. Deloatch, Esq.|2024-05-22T16:05:59-05:00May 22nd, 2024|Tags: Arive Capital Markets, attorney, AWC, customer, Department of Enforcement, excessive trading, extensive, failure to supervise, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3110, fraud, losses in investments, lost money with Arive Capital Markets, recommendation, recover lost funds, regulatory action, sales practice violation, sanctioned, securities practice, suitability, WSP|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Arive Capital Markets (CRD # 8060) was recently sanctioned by FINRA’s Department [...]

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Joseph Desapio Suspended by FINRA from Securities Industry for Violating Reg BI

Joseph Desapio Suspended by FINRA from Securities Industry for Violating Reg BI

By Kevin J. Deloatch, Esq.|2024-03-11T16:50:34-05:00March 11th, 2024|Tags: AWC, best interest, churning, customer complaint, damages, fiduciary duty, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 2111, Have you lost money, investigation, Joseph Desapio, Legend Securities, negligence, Quantitatively unsuitable, recover lost funds, Reg BI, Regulation BI, sales practice violation, securities industry, securities law practice, Spartan Capital Securities, standards of commercial honor, suitability, suspended, suspension, unsuitable recommendations, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joseph Desapio (CRD # 5837553) was recently suspended from the securities industry [...]

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Joao Pinto Suspended from Securities Industry by FINRA for Reg BI Violation

Joao Pinto Suspended from Securities Industry by FINRA for Reg BI Violation

By Kevin J. Deloatch, Esq.|2023-11-28T22:22:39-05:00November 27th, 2023|Tags: arbitration, AWC, Benchmark Investments, best interest, customer account, customer complaint, cyclical examination, Department of Enforcement, excessive, FINRA, fraud, free consultation, investments, Joao Pinto, Letter of Acceptance Waiver and Consent, losses, losses in your investments, negligence, Newbridge Securities Corporation, not in the customer best interest, recommended, Reg BI, sales practice, securities industry, securities practice, Spartan Capital Securities, suspended, trades, unsuitable, violating, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joao Pinto (CRD # 6298233) was recently suspended from the securities industry [...]

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Douglas Blake Solinsky Suspended by FINRA from Securities Industry for Excessive Unsuitable Trading

Douglas Blake Solinsky Suspended by FINRA from Securities Industry for Excessive Unsuitable Trading

By Kevin J. Deloatch, Esq.|2023-07-02T08:52:44-05:00July 2nd, 2023|Tags: allegation, arbitration, AWC, Benchmark Investments, Blake, brokerage account, Cape Securities Inc., churning, commissions, customer complaint, damages, Department of Enforcement, Douglas, Douglas Blake Solinsky, excessive, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Have you lost money, investigation, investments, Kingswood Capital Partners, law practice, Letter of Acceptance Waiver and Consent, losses, lost money, negligent, Newbridge Securities Corporation, recommendation, recover lost funds, restitution, sales practice violations, securities industry, Solinsky, suitability, suspended, trading, unsuitable, wall street|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Douglas Blake Solinsky (CRD # 4715268) was recently suspended from the securities [...]

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Blake Adam Levy Suspended from Securities Industry by FINRA for Unsuitable Private Placements

Blake Adam Levy Suspended from Securities Industry by FINRA for Unsuitable Private Placements

By Kevin J. Deloatch, Esq.|2023-09-28T08:52:35-05:00June 21st, 2023|Tags: arbitration, AWC, Blake Adam Levy, Blake Levy, customer complaint, Department of Enforcement, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 2111(a), fraud, Have you lost money, Joseph Gunnar, Joseph Gunnar & Co., Letter of Acceptance Waiver and Consent, margin, mutual funds, negligent, Newport Coast Securities, offering materials, private placement, sales practice, sanction, securities industry, securities law, suspended, suspension, unauthorized, unsuitable, violation, WestPark Capital|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Blake Adam Levy (CRD # 4593636) was recently suspended from the securities [...]

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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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Gary Goldberg Suspended by FINRA from Securities Industry for Unsuitable Recommendations

Gary Goldberg Suspended by FINRA from Securities Industry for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2023-04-13T10:31:24-05:00April 13th, 2023|Tags: arbitration, AWC, Bruderman Brothers LLC, customer complaint, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 2330, fraud, Gary Goldberg, Gary Mark Goldberg, Letter of Acceptance Waiver and Consent, Newbridge Securities Corporation, securities industry, suspended, unsuitable recommendation, variable annuities, variable annuity|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Gary Mark Goldberg (CRD # 223919) was recently suspended from the securities [...]

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Jose Candelario Padilla Suspended by FINRA from Securities Industry for Unsuitable Recommendations

Jose Candelario Padilla Suspended by FINRA from Securities Industry for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2023-04-12T10:10:26-05:00April 12th, 2023|Tags: AWC, best interest, customer, customer complaint arbitration, ETF, exchange traded funds, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, Jose Candelario, Jose Candelario Padilla, Letter of Acceptance Waiver and Consent, leveraged and inverse, Nationwide Planning Associates, NPA Management, NT-ETF, Oriental Financial Services Corp, securities industry, suspended, unsuitable recommendation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Jose Candelario Padilla (a/k/a Jose Candelario) (CRD # 4847560) was recently suspended [...]

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