FINRA – Broker Actions | New York Criminal & Securities Attorney

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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Arthur McQuaide Suspended from Securities Industry by FINRA for Churning

Arthur McQuaide Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2023-12-08T15:07:29-05:00December 8th, 2023|Tags: account, arbitration, Arthur McQuaide, AWC, Caldwell International Securities, churning, complaint, customer, De facto control, Department of Enforcement, excessive trading, excessively trading, FINRA, FINRA Rule 201, FINRA Rule 2111, fraud, Have you lost money, high frequency, Inc., Letter of Acceptance Waiver and Consent, misrepresentation, N.C., Quantitatively unsuitable, securities industry, securities law, Southeast Investments, Spartan Capital Securities, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Arthur Mcquaide (CRD # 4581876) was recently suspended from the securities industry [...]

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Matthew Mierzycki Suspended from Securities Industry by FINRA for Unauthorized Trades

Matthew Mierzycki Suspended from Securities Industry by FINRA for Unauthorized Trades

By Kevin J. Deloatch, Esq.|2023-12-06T08:52:55-05:00December 6th, 2023|Tags: arbitration, AWC, customer account, customer complaint, Department of Enforcement, fine, FINRA, FINRA Rule 1122, FINRA Rule 2010, FINRA Rule 3260(b), fraud, Matthew Mierzycki, sales practice, securities industry, securities practice, suspended, U5, unauthorized trades, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Matthew Mierzycki (CRD # 6102769) was recently suspended from the securities industry [...]

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Robert Clayton, Jr. Suspended from Securities Industry by FINRA for Mismarking Order Tickets

Robert Clayton, Jr. Suspended from Securities Industry by FINRA for Mismarking Order Tickets

By Kevin J. Deloatch, Esq.|2023-11-30T12:59:13-05:00November 30th, 2023|Tags: arbitration, AWC, customer complaint, Department of Enforcement, fine, FINRA, FINRA Rule 2010, FINRA Rule 4511, fraud, IC Advisory Services, Investment Center, Letter of Acceptance Waiver and Consent, mismarked, mismarking order tickets, MML Investors Services, order tickets, Robert Clayton, sales practice, securities industry, securities law practice, solicited, suspended, TFS Advisory Services, unsolicited, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Robert Clayton, Jr. (CRD # 2598586) was recently suspended from the securities [...]

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Jilena Yuen-Han Mok Suspended from Securities Industry by FINRA for Unauthorized Trades

Jilena Yuen-Han Mok Suspended from Securities Industry by FINRA for Unauthorized Trades

By Kevin J. Deloatch, Esq.|2023-11-29T14:49:14-05:00November 29th, 2023|Tags: advisor, Aegis Capital Corp, arbitration, AWC, broker, customer account, customer complaint, Department of Enforcement, discretion, Edward Jones, fine, FINRA, FINRA Rule 2010, FINRA Rule 3260, fraud, Have you lost money, Jilen Yuen-Han Mok, Letter of Acceptance Waiver and Consent, recover losses, sales practice violation, securities industry, securities law, securities law practice, suspended, unauthorized trades, without customer authorization|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Jilena Yuen-Han Mok (CRD # 6115674) was recently suspended from the securities [...]

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Joao Pinto Suspended from Securities Industry by FINRA for Reg BI Violation

Joao Pinto Suspended from Securities Industry by FINRA for Reg BI Violation

By Kevin J. Deloatch, Esq.|2023-11-28T22:22:39-05:00November 27th, 2023|Tags: arbitration, AWC, Benchmark Investments, best interest, customer account, customer complaint, cyclical examination, Department of Enforcement, excessive, FINRA, fraud, free consultation, investments, Joao Pinto, Letter of Acceptance Waiver and Consent, losses, losses in your investments, negligence, Newbridge Securities Corporation, not in the customer best interest, recommended, Reg BI, sales practice, securities industry, securities practice, Spartan Capital Securities, suspended, trades, unsuitable, violating, violation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joao Pinto (CRD # 6298233) was recently suspended from the securities industry [...]

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