Unsuitability | New York Criminal & Securities Attorney

Robert David Suspended from Securities Industry by FINRA for Falsifying Customer Information

Robert David Suspended from Securities Industry by FINRA for Falsifying Customer Information

By Kevin J. Deloatch, Esq.|2022-04-09T19:43:27-05:00April 9th, 2022|Tags: advisor, arbitration, AWC, broker, Citigroup Global Markets, customer complaint, Department of Enforcement, failure to follow instructions, falsifying customer information, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 2510(b), fraud, investigation, misrepresentation, Morgan Stanley, Robert David, sanction, securities industry, settled, suspend, suspended, suspension, unauthorized discretion, unsuitable recommendations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert David, Jr. (CRD # 5211223) was recently suspended from the securities [...]

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Eric Nicolassy Suspended from Securities Industry by FINRA for Churning, Suitability and Unauthorized Trading

Eric Nicolassy Suspended from Securities Industry by FINRA for Churning, Suitability and Unauthorized Trading

By Kevin J. Deloatch, Esq.|2022-04-01T10:42:24-05:00March 28th, 2022|Tags: advisor, Alexander Capital, arbitration, AWC, broker, churning, customer, customer complaint, customer-inititiated, Department of Enforcement, discretion, Eric Edward Nicolassy, Eric Nicolassy, excessive trading, fiduciary duty, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3260, fraud, investigation, Network 1 Financial Securities, sanction, securities industry, suitability, suspended, unauthorized trading, Woodstock Financial Group|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Eric Edward Nicolassy (CRD # 6244539) was recently suspended from the securities industry by [...]

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William Nicholas Athas Barred from Securities Industry by FINRA for Churning and Suitability

William Nicholas Athas Barred from Securities Industry by FINRA for Churning and Suitability

By Kevin J. Deloatch, Esq.|2022-02-10T09:08:57-05:00February 10th, 2022|Tags: 10b-5, arbitration, bar, barred, churning, customer complaint, Department of Enforcement, disciplinary proceedings, excessive trading, FINRA, FINRA Rule 2010, FINRA Rule 2020, FINRA Rule 2111, K.C. Ward Financial, Liberty Partners Financial Services, misrepresentation, negligence, Nicholas, ODA, Rule 10b-5, Securities Exchange Act of 1934, securities industry, suitability, SW Financial, unauthorized trading, unsuitability, unsuitable, violation, William Athas, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, William Nicholas Athas (CRD # 3165470) was recently barred from the securities industry by [...]

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CIM Securities, LLC Sanctioned by FINRA for Failure to Supervise Private Placement Offerings

CIM Securities, LLC Sanctioned by FINRA for Failure to Supervise Private Placement Offerings

By Kevin J. Deloatch, Esq.|2022-02-01T21:38:45-05:00February 1st, 2022|Tags: AWC, censure, CIM Securities, complaints, Department of Enforcement, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3110, investigation, private placement, sanction, sanctioned, securities, supervisory system, written supervisory procedures, WSP, WSPs|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, CIM Securities, LLC (CRD # 120852) was recently sanctioned by FINRA’s Department [...]

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Dennis Ayer Barred from Securities Industry by FINRA After Suitability Investigation

Dennis Ayer Barred from Securities Industry by FINRA After Suitability Investigation

By Kevin J. Deloatch, Esq.|2022-01-30T10:42:22-05:00January 30th, 2022|Tags: adviser, advisor, AWC, bar, barred, broker, customer account, customer complaint, Dennis Ayer, Department of Enforcement, failure to cooperate, FINRA, FINRA Rule 2010, FINRA Rule 8210, Hilltop Securities, Integrated Advisors Network, investigation, Merrill Lynch Pierce Fenner, on-the-record testimony, Oppenheimer, Penguin Capital Management, Phillip, securities industry, settled, suitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Dennis Ayer (CRD # 5365176) was recently barred from the securities industry by FINRA’s [...]

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Joseph LaScala, Jr. Suspended by FINRA from Securities Industry for Churning and Unauthorized Discretion

Joseph LaScala, Jr. Suspended by FINRA from Securities Industry for Churning and Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2022-01-26T19:50:29-05:00January 26th, 2022|Tags: advisor, Aegis Capital Corp, AWC, Brian, broker, churning, customer account, customer complaint, Department of Enforcement, excessive, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, Gunallen Financial, investigation, Joseph LaScala, Jr., NASD, NASD Rule 2510(b), Paulson Investment Company, Quantitatively unsuitable, sanction, securities industry, suspended, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joseph LaScala, Jr. (CRD # 3070261) was recently suspended from the securities industry by [...]

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John LoPinto Suspended from Securities Industry by FINRA for Excessive Trading

John LoPinto Suspended from Securities Industry by FINRA for Excessive Trading

By Kevin J. Deloatch, Esq.|2022-01-21T11:36:44-05:00January 21st, 2022|Tags: arbitration, AWC, breach of contract, breach of fiduciary duty, churning, customer account, customer complaint, Department of Enforcement, excessive trading, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, investigation, J.P. Turner, John LoPinto, Legend Securities, Michael, misrepresentation, National Securities Corporation, negligence, Quantitatively unsuitable, securities industry, suitability, suspended, unsuitable, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, John LoPinto (CRD # 4563735) was recently suspended from the securities industry by [...]

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Michael Nixon Suspended from Securities Industry by FINRA for Unsuitable Securities Recommendations

Michael Nixon Suspended from Securities Industry by FINRA for Unsuitable Securities Recommendations

By Kevin J. Deloatch, Esq.|2022-01-21T11:34:32-05:00January 21st, 2022|Tags: arbitration, AWC, customer account, customer complaint, Department of Enforcement, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investigation, Meyers Associates, Michael Nixon, Newport Coast Securities, Patrick, Paulson Investment Company, securities industry, steepener, suspended, unsuitable recommendations|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Michael Nixon (CRD # 2169631) was recently suspended from the securities industry by FINRA’s [...]

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Eric Willer Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Eric Willer Suspended from Securities Industry by FINRA for Unsuitable Recommendations

By Kevin J. Deloatch, Esq.|2021-12-17T10:32:41-05:00December 17th, 2021|Tags: advisor, AWC, broker, customer account, customer accounts, customer complaint, customer complaints, Department of Enforcement, due diligence, Eric Carl Willer, Eric Willer, fine, fined, FINRA, fraud, Fusion Analytics Securities, investigation, Kestra Investment Services, misrepresentation, Misreprsented, private placement, recommendation, recommendations, securities industry, suitability, suspended, suspension, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Eric Carl Willer (CRD # 2263899) was recently suspended from the securities industry [...]

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Robert Nyilas Barred from Securities Industry by FINRA for Refusing to Cooperate In Suitability Investigation

Robert Nyilas Barred from Securities Industry by FINRA for Refusing to Cooperate In Suitability Investigation

By Kevin J. Deloatch, Esq.|2021-09-16T13:53:41-05:00September 16th, 2021|Tags: acceptance waiver and consent, Advisory Group Equity Services, AWC, bar, barred, broker, customer account, Department of Enforcement, FINRA, FINRA Rule 2010, FINRA Rule 8210, investigation, Lebenthal Financial Services, recommendation, refuse to cooperate, refusing to cooperate, Robert Nyilas, Source Capital Group, suitability, unsuitable recommendation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Robert Nyilas (CRD # 1030273) was recently barred from the securities industry by [...]

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