Unsuitability | New York Criminal & Securities Attorney

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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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 [...]

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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 [...]

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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 [...]

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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 [...]

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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.|2023-04-21T12:43:03-05:00November 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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Michael “Mike” Joseph Lancaster Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Michael “Mike” Joseph Lancaster Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2022-11-15T13:33:31-05:00November 15th, 2022|Tags: acceptance waiver and consent, arbitration, AWC, Capital Analysts, customer account, customer complaint, Department of Enforcement, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, IFP Securities, investigation, Joseph, Lancaster, LPL Financial, Michael Lancaster, Mike Lancaster, NASD Rule 2310, NFP Securities, sales practice, sales practice violation, securities, securities industry, securities law, suitability, suspended, unsuitability, unsuitable recommendation, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Michael “Mike” Joseph Lancaster (CRD # 1353552) was recently suspended from the [...]

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Christopher Polinaire Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

Christopher Polinaire Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

By Kevin J. Deloatch, Esq.|2022-11-06T19:00:31-05:00November 6th, 2022|Tags: advisor, Alexander, Arive Capital Markets, AWC, broker, Christopher Polinaire, churning, customer accounts, Department of Enforcement, excessive, excessively, fine, fined, FINRA, FINRA Department of Enforcement, FINRA Rule 2010, FINRA Rule 2111, First Standard Financial Company, fraud, investigation, Network 1 Financial Securities, sanction, securities, securities industry, securities law, suitability, suspended, trading, unsuitable, Unsuitably, violations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Christopher Alexander Polinaire (CRD # 4330879) was recently suspended from the securities [...]

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