SEC | New York Criminal & Securities Attorney

Social Media Driven Stock Market Frenzy – Securities Fraud In the Digital Age

Social Media Driven Stock Market Frenzy – Securities Fraud In the Digital Age

Kevin J. Deloatch, Esq.2021-02-04T10:45:37-05:00January 28th, 2021|Criminal Law, Fraud, Markets and Products, Securities Law|

GameStop Corp. (GME), AMC Entertainment Holdings (AMC) and BlackBerry Ltd. (BB) have seen their stock prices rise dramatically over the past few weeks after being the [...]

Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Sanctioned by FINRA for Failure to Supervise

Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Sanctioned by FINRA for Failure to Supervise

Kevin J. Deloatch, Esq.2020-09-20T17:23:43-05:00September 20th, 2020|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer(s), Wells Fargo Clearing Services, LLC (CRD # 19616) and Wells Fargo Advisors [...]

Wells Fargo Advisors, LLC Sanctioned by FINRA for Failure to Supervise

Wells Fargo Advisors, LLC Sanctioned by FINRA for Failure to Supervise

Kevin J. Deloatch, Esq.2020-09-18T12:46:30-05:00August 31st, 2020|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Wells Fargo Advisors, LLC (hereinafter “Wells Fargo”) (CRD # 19616) was recently [...]

NPB Financial Group, LLC Sanctioned by the SEC for Breach of Fiduciary Duty

NPB Financial Group, LLC Sanctioned by the SEC for Breach of Fiduciary Duty

Kevin J. Deloatch, Esq.2020-08-25T10:13:02-05:00August 25th, 2020|Conflicts of Interest, Improper Mutual Fund Sales Practices, Markets and Products, Securities Law|

Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against investment advisory firm, NPB Financial Group, LLC [...]

Morgan Stanley Smith Barney LLC Sanctioned by FINRA for Failure to Supervise

Morgan Stanley Smith Barney LLC Sanctioned by FINRA for Failure to Supervise

Kevin J. Deloatch, Esq.2020-08-17T14:40:29-05:00August 17th, 2020|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Morgan Stanley Smith Barney LLC (hereinafter “Morgan Stanley”) (CRD # 149777) was [...]

George L. Taylor Barred from the Securities Industry by the SEC

George L. Taylor Barred from the Securities Industry by the SEC

Kevin J. Deloatch, Esq.2021-04-20T12:13:39-05:00July 31st, 2020|Fraud, Private Placements, Securities Law, Unsuitability|

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

The SEC Revokes the Registration of Investment Advisory Firm Temenos Investment Advisory, Inc.

The SEC Revokes the Registration of Investment Advisory Firm Temenos Investment Advisory, Inc.

Kevin J. Deloatch, Esq.2020-07-30T12:49:26-05:00July 30th, 2020|Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against investment advisory firm, Temenos Advisory, Inc. (CRD [...]

Robert Russel Tweed Barred by the SEC from the Securities Industry

Robert Russel Tweed Barred by the SEC from the Securities Industry

Kevin J. Deloatch, Esq.2020-07-28T12:38:09-05:00July 28th, 2020|Fraud, Securities Law|

Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against broker/adviser, Robert Russel Tweed (CRD # 2339324) [...]

Chardan Capital Markets, LLC Sanctioned by FINRA for Failure to Supervise Conflicts of Interest

Chardan Capital Markets, LLC Sanctioned by FINRA for Failure to Supervise Conflicts of Interest

Kevin J. Deloatch, Esq.2020-07-15T08:46:51-05:00July 15th, 2020|Conflicts of Interest, FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Chardan Capital Markets, LLC (hereinafter “Chardan”) (CRD # 120128) was recently sanctioned [...]

Eugene James Long Suspended from the Securities Industry by FINRA

Eugene James Long Suspended from the Securities Industry by FINRA

Kevin J. Deloatch, Esq.2020-07-10T10:57:51-05:00July 10th, 2020|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that general securities representative Eugene James Long (CRD # 2386267) was recently suspended from [...]