Unsuitability | New York Criminal & Securities Attorney

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 [...]

0

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 [...]

0

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 [...]

0

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 [...]

0

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 [...]

0

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 [...]

0

Dana Davis Suspended from Securities Industry by FINRA for Unsuitable Margin Recommendations

Dana Davis Suspended from Securities Industry by FINRA for Unsuitable Margin Recommendations

By Kevin J. Deloatch, Esq.|2023-04-12T09:35:48-05:00April 10th, 2023|Tags: Alexander Capital, arbitration, AWC, commission, customer complaint, Dana Davis, excessive trading, fiduciary duty, FINRA, FINRA Rule 2010, FINRA Rule 2111, First Montauk Securities, Letter of Acceptance Waiver and Consent, margin, misrepresentation, negligence, Newbridge Securities Corporation, omission, overconcentratoin, recommendation, securities industry, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Dana Davis (CRD # 1707708) was recently suspended from the securities industry [...]

0

Coastal Equities, Inc. Sanctioned by FINRA for Its Sales of GPB Capital Holdings, LLC and Failure to Supervise

Coastal Equities, Inc. Sanctioned by FINRA for Its Sales of GPB Capital Holdings, LLC and Failure to Supervise

By Kevin J. Deloatch, Esq.|2022-12-28T12:00:09-05:00December 20th, 2022|Tags: audited financial statements, automotive portfolio, AWC, broker, broker-dealer, censure, Coastal Equities, customer account, Department of Enforcement, excessive, failure to supervise, fine, FINRA, FINRA Rule 2010, FINRA Rule 3110, GPB Capital Holdings, Holdings II, introducing broker, investigate, investigation, investor, limited partnership, material information, NASD Rule 3010, red flag, red flags, registered representative, regulatory, restitution, sanction, SEC, Securities and Exchange Commission, unsuitable, written supervisory procedures|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that introducing broker-dealer, Coastal Equities, Inc. (CRD # 23769) was recently sanctioned by FINRA’s [...]

0

Christine A. Warner Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

Christine A. Warner Suspended from Securities Industry by FINRA for Failure to Supervise – Variable Annuities

By Kevin J. Deloatch, Esq.|2022-12-09T15:32:03-05:00December 9th, 2022|Tags: advisor, arbitration, AWC, broker, Christine Warner, customer complaint, Ensemble Financial Services, exchange, failure to supervise, fine, FINRA, FINRA Department of Enforcement, FINRA Rule 2010, FINRA Rule 2330, FINRA Rule 3110, Fortune Financial Services, fraud, investigation, misrepresentation, Monticello Financial Group, omission, recommendation, securities industry, securities law, securities law practice, suitable, surrender charge, suspended, variable annuities, variable annuity, variable annuity exchange application|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christine A. Warner (CRD # 4001584) was recently suspended from the securities [...]

0

Jesus Manuel Bravo (a/k/a Jesse Bravo) Suspended from Securities Industry by FINRA for Churning

Jesus Manuel Bravo (a/k/a Jesse Bravo) Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-11-25T11:17:35-05:00November 25th, 2022|Tags: advisor, arbitration, AWC, broker, CBC Securities, churning, customer account, customer complaint, Department of Enforcement, DMK Advisor Group, excessive, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investigation, Jesse Bravo, Jesus Bravo, Jesus Manuel Bravo, Joseph Stone Capital, Law Office, Manuel, restitution, securities, securities industry, securities law, Solomon Whitney LLC, suspended, suspension, unsuitability, unsuitable, Unsuitably|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Jesus Manuel Bravo (a/k/a Jesse Bravo) (CRD # 2838164) was recently suspended from [...]

0