Unsuitability | New York Criminal & Securities Attorney

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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Law Office of Kevin J. Deloatch, Esq. Investigating Purchases of Erin Energy Corporation Through Cabot Lodge Securities and Arben (“Ben”) Gecaj

Law Office of Kevin J. Deloatch, Esq. Investigating Purchases of Erin Energy Corporation Through Cabot Lodge Securities and Arben (“Ben”) Gecaj

By Kevin J. Deloatch, Esq.|2022-12-01T14:45:21-05:00November 5th, 2022|Tags: advisor, Arben Gecaj, arbitration, bankruptcy, Ben Gecaj, broker, Cabot Lodge Securities, CAK, CAMAC Energy, chapter 11, chapter 7, customer, Erin Energy, ERINQ, ERN, FINRA, FINRA Rule 2111, Gecaj, good faith, investigation, investment experience, investment objectives, loss, losses, lost, money, recommendation, recommended, risk tolerance, suitability, suitable, unsuitable|

The Law Office of Kevin J. Deloatch, Esq. is currently investigating recommended transactions in the common stock of Erin Energy Corporation through Cabot Lodge Securities LLC [...]

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Nigel James Suspended from Securities Industry by FINRA for Churning

Nigel James Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2024-01-02T18:27:57-05:00October 31st, 2022|Tags: arbitration, AWC, breach of contract, breach of fiduciary duty, broker, Brundyn Securities, churning, customer account, customer complaint, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, First Midwest Securities, fraud, investigation, J.P. Turner, Joseph Stone Capital, misrepresentation, negligence, Nigel James, Nigel Ronald James, sanction, securities industry, suitability, suspended, unauthorized trading, VCS Venture Securities, violated, violations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Nigel Ronald James (CRD # 4490687) was recently suspended from the securities industry [...]

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Russ Kory Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Russ Kory Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2022-09-04T14:24:03-05:00September 4th, 2022|Tags: advisor, arbitration, AWC, breach of fiduciary duty, broker, customer complaint, David Lerner Associates, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, industry, investment, limited partnership, misrepresentation, recommendations, Russ Kory, sanction, securities, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Russ Kory (CRD # 5901185) was recently suspended from the securities industry [...]

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Joseph Ambrosole Barred from Securities Industry by FINRA Regarding Investigation of Unsuitable Trading

Joseph Ambrosole Barred from Securities Industry by FINRA Regarding Investigation of Unsuitable Trading

By Kevin J. Deloatch, Esq.|2022-08-09T19:11:52-05:00August 9th, 2022|Tags: advisor, Alexander Capital, AWC, bar, barred, broker, churning, customer account, customer accounts, Department of Enforcement, excessive trading, FINRA, FINRA Rule 2010, FINRA Rule 8210, investigation, Joseph Ambrosole, Joseph Stone Capital, Meyers Associates, securities industry, unauthorized, unsuitable trading|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Joseph A. Ambrosole (CRD # 5732488) was recently barred from the securities industry [...]

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