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Western International Securities, Inc. Sanctioned by FINRA For Failure to Supervise

Western International Securities, Inc. Sanctioned by FINRA For Failure to Supervise

Kevin J. Deloatch, Esq.2024-09-07T09:03:12-05:00September 7th, 2024|Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Western International Securities, Inc. (CRD # 39262) was recently sanctioned by FINRA’s [...]

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

Kevin J. Deloatch, Esq.2024-05-29T11:29:25-05:00May 29th, 2024|Churning, Conflicts of Interest, FINRA - Broker Actions, Securities Law, Unsuitability|

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 [...]

Troy Allen Orlando Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Troy Allen Orlando Suspended from Securities Industry by FINRA for Unsuitable Recommendations

Kevin J. Deloatch, Esq.2023-11-26T14:34:44-05:00November 26th, 2023|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Troy Allen Orlando (CRD # 6055474) was recently suspended from the securities [...]

Douglas Blake Solinsky Suspended by FINRA from Securities Industry for Excessive Unsuitable Trading

Douglas Blake Solinsky Suspended by FINRA from Securities Industry for Excessive Unsuitable Trading

Kevin J. Deloatch, Esq.2023-07-02T08:52:44-05:00July 2nd, 2023|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Douglas Blake Solinsky (CRD # 4715268) was recently suspended from the securities [...]

Coastal Equities, Inc. Sanctioned by FINRA for Its Sales of GPB Capital Holdings, LLC and Failure to Supervise

Coastal Equities, Inc. Sanctioned by FINRA for Its Sales of GPB Capital Holdings, LLC and Failure to Supervise

Kevin J. Deloatch, Esq.2022-12-28T12:00:09-05:00December 20th, 2022|Fraud, Markets and Products, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that introducing broker-dealer, Coastal Equities, Inc. (CRD # 23769) was recently sanctioned by FINRA’s [...]

Jesus Manuel Bravo (a/k/a Jesse Bravo) Suspended from Securities Industry by FINRA for Churning

Jesus Manuel Bravo (a/k/a Jesse Bravo) Suspended from Securities Industry by FINRA for Churning

Kevin J. Deloatch, Esq.2022-11-25T11:17:35-05:00November 25th, 2022|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Jesus Manuel Bravo (a/k/a Jesse Bravo) (CRD # 2838164) was recently suspended from [...]

National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

Kevin J. Deloatch, Esq.2022-06-26T17:42:34-05:00June 26th, 2022|Conflicts of Interest, Fraud, Markets and Products, Misrepresentation, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, National Securities Corporation (CRD # 7569) was recently sanctioned by FINRA’s Department [...]

McDonald Partners LLC Sanctioned by FINRA for Failure to Perform Due Diligence on Private Placement Offering

McDonald Partners LLC Sanctioned by FINRA for Failure to Perform Due Diligence on Private Placement Offering

Kevin J. Deloatch, Esq.2022-06-24T08:08:57-05:00June 24th, 2022|Fraud, Markets and Products, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, McDonald Partners LLC (CRD # 135414) was recently sanctioned by FINRA’s Department [...]

The O.N. Equity Sales Company Sanctioned for Failure to Supervise Sales of Variable Annuities

The O.N. Equity Sales Company Sanctioned for Failure to Supervise Sales of Variable Annuities

Kevin J. Deloatch, Esq.2021-05-07T15:25:24-05:00May 7th, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, The O.N. Equity Sales Company (CRD # 2936) was recently sanctioned by [...]

American Independent Securities Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of CMO’s

American Independent Securities Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of CMO’s

Kevin J. Deloatch, Esq.2021-05-02T20:32:01-05:00April 3rd, 2021|Markets and Products, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, American Independent Securities Group, LLC (CRD # 135288) was recently sanctioned by [...]