FINRA – Broker Actions | New York Criminal & Securities Attorney

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.|2025-11-28T11:12:48-05:00November 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) was recently suspended from the [...]

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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.|2025-12-04T21:40:01-05:00September 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.|2025-09-22T17:06:56-05:00September 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.|2025-09-19T14:36:51-05:00September 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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Joseph Warner Rozof Suspended from Securities Industry by FINRA for Unauthorized Discretion

Joseph Warner Rozof Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2025-09-03T11:24:56-05:00September 3rd, 2025|Tags: advisor, arbitration, authorization, award waiver and consent, AWC, broker, brokerage account, churning, CRD # 14178, CRD # 15007, CRD #310046, customer complaint, damages, Department of Enforcement, discretionary trades, experience, extensive, fine, FINRA, FINRA Rule 3260(b), fraud, Harley Capital, investigation, investments, Joseph Warner Rozof, lost money, recover lost funds, Revere Securities, sales practice, securities industry, securities law, suspended, unauthorized discretion, violation, written authorization, written complaint, written supervisory procedures|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joseph Warner Rozof (CRD # 5274784) was recently suspended from the securities [...]

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Craig Sherman Thistlethwaite Suspended from Securities Industry by FINRA for Unauthorized Discretion

Craig Sherman Thistlethwaite Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2024-07-28T10:34:25-05:00July 28th, 2024|Tags: arbitration, arbitration panel, award, AWC, breach of fiduciary duty, brokerage account, Citigroup Global Markets, Craig Sherman Thistlethwaite, customer complaint, damages, Department of Enforcement, failure to supervise, fine, FINRA, FINRA Rule 2010, FINRA Rule 2510(b), FINRA Rule 3260(b), FINRA Rule 4511, fraud, Have you lost money, investigation, Letter of Acceptance Waiver and Consent, McDonald Investments, Morgan Stanley, negligence, sales practice, securities industry, securities law practice, suspended, suspension, unauthorized discretion, unsuitability, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Craig Sherman Thistlethwaite (CRD # 2507050) was recently suspended from the securities [...]

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Yong Soo Kim and Kayan Securities, Inc. Sanctioned by FINRA for Failure to Supervise and Reg BI Violations

Yong Soo Kim and Kayan Securities, Inc. Sanctioned by FINRA for Failure to Supervise and Reg BI Violations

By Kevin J. Deloatch, Esq.|2024-05-29T11:29:25-05:00May 29th, 2024|Tags: arbitration, AWC, censure, churning, compliance, customer account, customer complaint, damages, Department of Enforcement, ETECH Securities, excessive trading, failure to supervise, fiduciary duty, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, FINRA Rule 3110, fraud, HANMI Securities, Have you lost money, Inc., investigation, Kayan Securities, Letter of Acceptance Waiver and Consent, MITAA Global Securities, NASD Rule 1220(b), NASD Rule 2110, negligence, recover lost funds, Reg BI, Regulation BI, regulatory action, restitution, Rule 15I-1, sales practice violations, sanctioned, Securities Exchange Act of 1934, securities industry, securities law, securities law practice, suitability, suspension, trading, unauthorized, written supervisory procedures, WSP, Yong Soo Kim|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Yong Soo Kim (CRD # 1747849) and broker, Kayan Securities, Inc. (CRD [...]

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Alan Mason Suspended from Securities Industry by FINRA for Regulation BI Violation

Alan Mason Suspended from Securities Industry by FINRA for Regulation BI Violation

By Kevin J. Deloatch, Esq.|2024-06-06T11:20:20-05:00May 27th, 2024|Tags: Alan Mason, alleged damages, arbitration, AWC, Bradley Woods, concentration, customer account, customer complaint, customer-inititiated, Department of Enforcement, disgorgement, fine, FINRA, FINRA Rule 2010, fraud, Gruntal, Gunnallen Financial, Have you lost money, investigation, investment, Letter of Acceptance Waiver and Consent, recover lost funds, Reg BI, Regulation Best Interest, Regulation BI, sales practice, sales practice violation, securities exchange act, Securities Exchange Act of 1934, securities industry, securities law, securities law practice, suspended, unauthorized transactions, unsuitability, unsuitable recommendation, WestPark Capital, Wilmington Capital|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Alan Mason (CRD # 1302190) was recently suspended from the securities industry [...]

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Felipe Henao Vargus Suspended from Securities Industry by FINRA for Unauthorized Discretion

Felipe Henao Vargus Suspended from Securities Industry by FINRA for Unauthorized Discretion

By Kevin J. Deloatch, Esq.|2024-01-16T14:40:40-05:00December 20th, 2023|Tags: AWC, Bolton Global Capital, customer account, customer complaint, Department of Enforcement, Felipe Henao Vargas, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), fraud, Have you lost money, Insigneo Securities, investigation, Letter of Acceptance Waiver and Consent, Merrill Lynch Pierce Fenner, securities industry, securities law, suspended, unauthorized discretion|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Felipe Henao Vargas (CRD # 5140431) was recently suspended from the securities [...]

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Darren Ting Suspended from Securities Industry by FINRA for Various Sales Practice Violations

Darren Ting Suspended from Securities Industry by FINRA for Various Sales Practice Violations

By Kevin J. Deloatch, Esq.|2023-12-18T12:22:47-05:00December 18th, 2023|Tags: AWC, customer account, customer complaint, Darren Ting, Department of Enforcement, discretionary, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260(b), FINRA Rule 4511, fraud, Have you lost money, J.P.Morgan, Letter of Acceptance Waiver and Consent, Merrill Lynch Pierce Fenner, mismarking order tickets, sales practice violations, securities industry, securities law, securities law practice, suspended, suspension, unauthorized trading, written authorization|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Darren Ting (CRD # 681403) was recently suspended from the securities industry [...]

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