Uncategorized | New York Criminal & Securities Attorney

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.|2022-10-31T12:15:17-05:00October 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 [...]

Henry Bones, II Suspended from Securities Industry by FINRA for Failure to Reasonably Supervise Broker for Churning

By Kevin J. Deloatch, Esq.|2021-08-15T12:56:26-05:00August 15th, 2021|Tags: AWC, broker, Churned, churning, customer account, customer accounts, Department of Enforcement, excessively traded, failure to supervise, fine, fined, FINRA, FINRA Rule 2010, FINRA Rule 3110, fraud, Henry Bones, Joseph Gunnar, Joseph Gunnar & Co. LLC, Legend Securities, Reasonably supervise, sanction, sanctioned, securities industry, suitability, supervisor, suspended, SW Financial, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/supervisor, Henry Bones, II (CRD # 4673109) was recently suspended from the securities industry [...]

Grant C. Birkley Barred from Securities Industry by FINRA for Refusing to Cooperate In Investigation

By Kevin J. Deloatch, Esq.|2021-06-16T19:06:59-05:00June 16th, 2021|Tags: arbitration, AWC, bar, barred, customer complaint, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, Grant Birkley, investigation, Merrill Lynch Pierce Fenner, SagePoint Financial, securities, securities law, Wells Fargo Clearing Services|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Grant C. Birkley (CRD # 2933533) was recently barred from the securities industry by [...]