The Law Office of Kevin J. Deloatch, Esq. has extensive experience in the financial services industry.
Whether representing investors or securities professionals accused of wrongdoing, Mr. Deloatch draws on the experience he amassed over 30 years in the financial services and securities industry to provide his clients with comprehensive representation.
The Law Office of Kevin J. Deloatch, Esq. represents brokerage firms and associated persons in arbitrations before FINRA involving allegations of misrepresentation, fraud, unsuitability, churning, conflicts of interests, selling away, improper mutual fund sales practices, and fraud in underwriting.
Kevin Deloatch also represent firms and associated persons in connection with regulatory exams, inquiries and disciplinary proceedings before the Securities and Exchange Commission, the Financial Industry Regulatory Authority (“FINRA”), state regulators, and state attorneys general.
Kevin Deloatch has seen first-hand how the major financial abuses and scandals that fill the news headlines pull many individual investors into financial ruin.
We are dedicated to providing comprehensive representation for the individual investor that has been victimized by such broker abuses. Our office has extensive experience in dealing with the following causes of action: