Gary Talbot Suspended from Securities Industry by FINRA for Reg BI Violation

Gary Talbot Suspended from Securities Industry by FINRA for Reg BI Violation

By Kevin J. Deloatch, Esq.|2026-08-23T08:48:57-05:00August 23rd, 2026|Tags: Avenir Financial Group, award waiver and consent, AWC, Blackbook Capital, Department of Enforcement, excessive, excessively traded, Exchange Act Rule 15l, FINRA, FINRA Rule 2010, Gary Talbot, moderate risk, Reg BI, Regulation Best Interest, Rockwell Securities, sanction, securities industry, Spartan Capital Securities, suspended, trading activity|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Gary Talbot (CRD # 3059670) was recently suspended from the securities industry by FINRA’s [...]

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Mark Sullivan Suspended from Securities Industry by FINRA for Unauthorized Discretion

Mark Sullivan Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2026-08-21T10:03:48-05:00August 21st, 2026|Tags: AWC, Credit Suisse, Department of Enforcement, discretion, fine, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 3260, FINRA Rule 4510, fraud, investigation, Lehman Brothers, Mark Sullivan, negligence, securities law, suspended, suspension, UBS Financial Services, unauthorized, unauthorized discretion, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Mark Sullivan (CRD # 2531982) was recently suspended from the securities industry [...]

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FINRA Suspends William Morris from Securities Industry After Reg BI Investigation

FINRA Suspends William Morris from Securities Industry After Reg BI Investigation

By Kevin J. Deloatch, Esq.|2026-08-23T08:37:13-05:00April 15th, 2026|Tags: Associates, AWC, brokerage account, Calton, Cape Securities, customer complaint, Department of Enforcement, FINRA, FINRA Rule 2010, fraud, GWG, investigation, KCD Financial, KCD Financial Inc., L Bonds, lost money, negligencce, Reg BI, Regulation Best Interest, sales practice violations, securities industry, securities law, suspended, violation, William Morris|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, William Morris (CRD # 1793507) was recently suspended from the securities industry [...]

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Frederick Hohensee Suspended From Securities Industry by FINRA For Reg BI Violation

Frederick Hohensee Suspended From Securities Industry by FINRA For Reg BI Violation

By Kevin J. Deloatch, Esq.|2026-08-23T08:39:44-05:00April 15th, 2026|Tags: arbitration, award waiver and consent, AWC, complaint, customer complaint, Department of Enforcement, Exchange Act Rule 15l, Financial Industry Regulatory Authority, fine, FINRA, FINRA Rule 2010, fraud, Frederick Hohensee, Have you lost money, Hohensee, lost money, negligence, Reg BI, Regulation Best Interest, securities industry, securities law, structured notes, suspended, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Frederick Hohensee (CRD # 1431948) was recently suspended from the securities industry [...]

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The Law Office of Kevin J. Deloatch, Esq. Investigating Pre-IPOs Through Boustead Securities, LLC and Sutter Securities, Inc.

The Law Office of Kevin J. Deloatch, Esq. Investigating Pre-IPOs Through Boustead Securities, LLC and Sutter Securities, Inc.

By Kevin J. Deloatch, Esq.|2026-08-23T08:52:36-05:00January 29th, 2026|Tags: Boustead Securities, conflicts of interest, experience, Financial Industry Regulatory Authority, FINRA, FINRA Rule 2111, fraud, Have you lost money, illiquid, initial public offering, investment experience, investment objectives, IPO, IPOs, lost money, Pre-IPO, Pre-IPOs, private placement, Reg BI, reg. D, Regulation Best Interest, regulation D, risk tolerance, SEC, secondary market, Securities Act of 1933, Securities and Exchange Commission, securities fraud, securities practice, suitability, Sutter Securities, unsuitable, unsuitable recommendation|

The Law Office of Kevin J. Deloatch, Esq. is currently investigating the recommended purchases of Pre-IPOs or private placement securities through Boustead Securities, LLC (CRD# 141391) [...]

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FINRA Brings Disciplinary Proceedings Against Sutter Securities Inc. for Reg BI Violation

FINRA Brings Disciplinary Proceedings Against Sutter Securities Inc. for Reg BI Violation

By Kevin J. Deloatch, Esq.|2026-08-23T08:56:17-05:00January 26th, 2026|Tags: AWC, best interest of the customer, censure, churning, complaint, disciplinary proceedings, excessive trading, Exchange Act, Exchange Rule 15, fine, FINRA Department of Enforcement, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3110, fraud, G-37, investigation, Keith Charles Moore, Keith Moore, lost money, MSRB, Municipal Securities Rule Making Board, recover lost funds, Reg BI, Rule 15l-1, sales practice violation, sanction, supervision, supervisory procedures, Sutter Securities, written supervisory procedures, WSP, WSPs|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Sutter Securities, Inc. (CRD # 30770) was recently the subject of a [...]

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James Holmes, III Suspended by FINRA from Securities Industry: Reg BI and Unauthorized Discretion

James Holmes, III Suspended by FINRA from Securities Industry: Reg BI and Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2026-08-23T08:59:36-05:00November 28th, 2025|Tags: acceptance waiver and consent, advisor, AWC, broker, customer complaints, Department of Enforcement, Deutsche Bank Securities, fine, FINRA, FINRA Rule 2010, FINRA Rule 2630, FINRA Rule 3260, FINRA Rule 4511, investigation, James Holmes, Reg BI, Regulation Best Interest, sales practice violation, securities industry, Stephens, suspended, suspension, unauthorized discretion, Wells Fargo Clearing Services|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, James Eugene Holmes, III (CRD # 2174697), a/k/a James Holmes, was recently [...]

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Joseph Kelly Suspended by FINRA from Securities Industry for Reg BI Violation

Joseph Kelly Suspended by FINRA from Securities Industry for Reg BI Violation

By Kevin J. Deloatch, Esq.|2026-08-23T09:01:15-05:00September 24th, 2025|Tags: advisor, award waiver and consent, AWC, best interest, broker, customer, Department of Enforcement, FINRA, investigation, Joseph Kelly, National Securities Corporation, PHX Financial, Reg BI, securities industry, Spartan Capital Securities, suspended, unsuitable, VCS Venture Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Joseph Kelly (CRD # 4560737) was recently suspended from the securities industry by [...]

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Antonio Molinos Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Antonio Molinos Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2026-08-23T09:15:40-05:00September 22nd, 2025|Tags: advisor, Antonio Molinos, arbitration, AWC, best interest, broker, complaint, customer complaint, De facto control, Department of Enforcement, excessive, Exchange Rule 15, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, free consultation, investigation, Joseph Stone Capital, K.C. Ward Financial, Letter of Acceptance Waiver and Consent, lost money, PHX Financials, recommendations, sales practice violation, securities, securities industry, Spartan Capital Securities, standards of commercial honor, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Antonio Molinos (CRD # 2764977) was recently suspended from the securities industry by [...]

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Zachary Ellis Taylor Suspended from Securities Industry by FINRA Unsuitable Recommendations

Zachary Ellis Taylor Suspended from Securities Industry by FINRA Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2026-08-23T09:16:50-05:00September 19th, 2025|Tags: arbitration, AWC, complaint, Department of Enforcement, FINRA, FINRA Rule 2010, FINRA Rule 2360, fraud, Letter of Acceptance Waiver and Consent, lost money, Merrill Lynch, Oppenheimer, Pierce Fenner, sales practice violation, Saxony Securities, securities industry, securities law, suspended, unsuitable, unsuitable recommendation, Wells Fargo Advisors, Zachary Ellis Taylor, Zachary Taylor|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Zachary Ellis Taylor (CRD # 6074776) was recently suspended from the securities industry [...]

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