fined | New York Criminal & Securities Attorney

Gilbert Kuta Suspended from Securities Industry by FINRA for Unauthorized Discretion

Gilbert Kuta Suspended from Securities Industry by FINRA for Unauthorized Discretion

Kevin J. Deloatch, Esq.2021-07-28T15:43:03-05:00July 28th, 2021|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser, Gilbert Anthony Kuta (CRD # 1084075) was recently suspended from the securities [...]

NEXT Financial Group, Inc. Sanctioned by FINRA for Failure to Supervise Mutual Funds and Municipal Bonds

NEXT Financial Group, Inc. Sanctioned by FINRA for Failure to Supervise Mutual Funds and Municipal Bonds

Kevin J. Deloatch, Esq.2021-07-18T11:23:25-05:00July 18th, 2021|Improper Mutual Fund Sales Practices, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, NEXT Financial Group, Inc. (CRD # 46214) was recently sanctioned by FINRA’s Department [...]

Gary Bowman Suspended from Securities Industry by FINRA for Unsuitable Short-Term Trading of UITs

Gary Bowman Suspended from Securities Industry by FINRA for Unsuitable Short-Term Trading of UITs

Kevin J. Deloatch, Esq.2021-07-14T13:25:24-05:00July 14th, 2021|Churning, FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser, Gary Max Bowman (CRD # 2035699) was recently suspended from the securities [...]

Douglas Szempruch Suspended from Securities Industry by FINRA for Churning and Unauthorized Discretion

Douglas Szempruch Suspended from Securities Industry by FINRA for Churning and Unauthorized Discretion

Kevin J. Deloatch, Esq.2021-07-13T17:53:45-05:00July 13th, 2021|Churning, FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Douglas Edward Szempruch (CRD # 4159318) was recently suspended from the securities industry [...]

Matthew G. Zanowiak Suspended From Securities Industry By FINRA for Unauthorized Discretion

Matthew G. Zanowiak Suspended From Securities Industry By FINRA for Unauthorized Discretion

Kevin J. Deloatch, Esq.2021-06-12T16:26:25-05:00June 12th, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Matthew G. Zanowiak (CRD # 1142281) was recently suspended from the securities industry by [...]

Bradley Woods & Co. Ltd. Sanctioned by FINRA Regarding Failure to Supervise and Private Placement Securities

Bradley Woods & Co. Ltd. Sanctioned by FINRA Regarding Failure to Supervise and Private Placement Securities

Kevin J. Deloatch, Esq.2021-06-01T14:13:22-05:00June 1st, 2021|Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Bradley Woods & Co. Ltd. (CRD # 13660) was recently sanctioned by [...]

Carlton & Associates, Inc. Sanctioned by FINRA for Failure to Supervise Sales of Volatility-Linked ETPs

Carlton & Associates, Inc. Sanctioned by FINRA for Failure to Supervise Sales of Volatility-Linked ETPs

Kevin J. Deloatch, Esq.2021-05-26T15:28:19-05:00May 26th, 2021|Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Carlton & Associates, Inc. (CRD # 20999) was recently sanctioned by FINRA’s [...]

Carl George Antaki Suspended by FINRA From Securities Industry For Excessive and Unsuitable Recommendations

Carl George Antaki Suspended by FINRA From Securities Industry For Excessive and Unsuitable Recommendations

Kevin J. Deloatch, Esq.2021-05-24T11:02:42-05:00May 24th, 2021|Churning, FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Carl George Antaki (CRD # 4177543) was recently suspended from the securities [...]

UnionBanc Investment Services, LLC Sanctioned for Failure to Supervise Sales of Variable Annuities

UnionBanc Investment Services, LLC Sanctioned for Failure to Supervise Sales of Variable Annuities

Kevin J. Deloatch, Esq.2021-05-10T12:08:46-05:00May 10th, 2021|Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, UnionBanc Investment Services, LLC (CRD # 14455) was recently sanctioned by FINRA’s [...]

Kevin David Barton Suspended from Securities Industry by FINRA for Sales Practice Violations

Kevin David Barton Suspended from Securities Industry by FINRA for Sales Practice Violations

Kevin J. Deloatch, Esq.2022-12-06T14:46:06-05:00May 1st, 2021|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Kevin David Barton (CRD # 2542056) was recently suspended from the securities [...]