customer complaints | New York Criminal & Securities Attorney

Stifel, Nicolaus & Company, Incorporated Sanctioned by FINRA for Failure to Supervise and Comply with Suitability Rules

Stifel, Nicolaus & Company, Incorporated Sanctioned by FINRA for Failure to Supervise and Comply with Suitability Rules

Kevin J. Deloatch, Esq.2020-06-13T11:17:48-05:00June 3rd, 2020|FINRA - Broker Actions, Markets and Products, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus ) (CRD # 793) was [...]

Martin Joseph Noonan, Jr. Barred from the Securities Industry by FINRA After Refusing to Cooperate in Investigation

Martin Joseph Noonan, Jr. Barred from the Securities Industry by FINRA After Refusing to Cooperate in Investigation

Kevin J. Deloatch, Esq.2020-05-24T17:05:03-05:00May 24th, 2020|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Martin Joseph Noonan, Jr. (CRD # 2982159) was recently barred from the [...]

Leonard Charles Kinsman Barred from the Securities Industry by FINRA After Refusing to Cooperate in Investigation

Leonard Charles Kinsman Barred from the Securities Industry by FINRA After Refusing to Cooperate in Investigation

Kevin J. Deloatch, Esq.2020-05-24T16:54:50-05:00May 24th, 2020|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Leonard Charles Kinsman (CRD # 2816535) was recently barred from the securities [...]

Dennis James Murphy Barred from the Securities Industry by FINRA after Investigation

Dennis James Murphy Barred from the Securities Industry by FINRA after Investigation

Kevin J. Deloatch, Esq.2020-05-20T12:16:48-05:00May 20th, 2020|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Dennis James Murphy (CRD # 4840274) was recently barred from the securities [...]

FINRA Brings Disciplinary Proceedings Against Steven Robert Luftschein

FINRA Brings Disciplinary Proceedings Against Steven Robert Luftschein

Kevin J. Deloatch, Esq.2020-05-24T17:19:04-05:00May 17th, 2020|Churning, FINRA - Broker Actions, Fraud, Misrepresentation, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement has brought disciplinary proceedings against broker/advisor Steven Robert Luftschein [...]

Donald S. Woods Suspended by FINRA for Falsification of Records and Unsuitable Recommendations

Donald S. Woods Suspended by FINRA for Falsification of Records and Unsuitable Recommendations

Kevin J. Deloatch, Esq.2020-05-24T17:17:04-05:00May 8th, 2020|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Donald S. Woods (CRD # 727894) was recently suspended from the securities [...]

Moloney Securities, Co., Inc. Sanctioned by FINRA for Failure to Maintain Adequate Supervision

Moloney Securities, Co., Inc. Sanctioned by FINRA for Failure to Maintain Adequate Supervision

Kevin J. Deloatch, Esq.2020-05-24T17:22:48-05:00May 7th, 2020|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer Moloney Securities, Co., Inc. (Moloney Securities) (CRD # 38535) was recently sanctioned [...]

Brian Douglas Engstrom Suspended from the Securities Industry by FINRA for Unsuitable Recommendations

Brian Douglas Engstrom Suspended from the Securities Industry by FINRA for Unsuitable Recommendations

Kevin J. Deloatch, Esq.2020-06-03T14:39:00-05:00April 23rd, 2020|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Brian Douglas Engstrom (CRD # 1838926) was recently suspended from the securities [...]

Charles J. Euler, Jr. Barred from the Securities Industry by FINRA for Unsuitable Recommendations

Charles J. Euler, Jr. Barred from the Securities Industry by FINRA for Unsuitable Recommendations

Kevin J. Deloatch, Esq.2020-05-17T17:08:03-05:00April 21st, 2020|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records recently provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Charles J. Euler, Jr. (CRD # 202696), formerly with Radnor, PA [...]

Mack Leon Miller Suspended by FINRA for Excessive and Unsuitable Trading

Mack Leon Miller Suspended by FINRA for Excessive and Unsuitable Trading

Kevin J. Deloatch, Esq.2020-04-10T17:07:52-05:00April 10th, 2020|Churning, FINRA - Broker Actions, Fraud, Misrepresentation, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Mack Leon Miller (CRD # 2822317) was recently suspended from the securities [...]