advisor | New York Criminal & Securities Attorney

Matthew Clason Barred from Securities Industry by SEC After Pleading Guilty to Criminal Conduct

Matthew Clason Barred from Securities Industry by SEC After Pleading Guilty to Criminal Conduct

Kevin J. Deloatch, Esq.2021-08-22T07:02:35-05:00August 21st, 2021|Fraud, Securities Law|

Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against broker/investment advisor, Matthew O. Clason (CRD # [...]

David Scott Fergang Suspended From Securities Industry by FINRA for Unauthorized Discretion

Kevin J. Deloatch, Esq.2021-04-29T10:18:13-05:00April 29th, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, David Scott Fergang (CRD # 1758758) was recently suspended from the securities [...]

Have You Lost Money From Your Broker Engaging In Selling Away?

Kevin J. Deloatch, Esq.2020-12-10T11:28:13-05:00December 10th, 2020|Conflicts of Interest, Fraud, Markets and Products, Securities Law, Unsuitability|

Have you lost money in a “hot new investment with great returns” recommended by your broker just to later find out it wasn’t even a product [...]