securities | New York Criminal & Securities Attorney

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 [...]

Cabot Lodge Securities LLC Charged by FINRA with Multiple Securities Violations

Cabot Lodge Securities LLC Charged by FINRA with Multiple Securities Violations

Kevin J. Deloatch, Esq.2020-04-15T22:01:55-05:00April 15th, 2020|Fraud in Underwriting, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement recently brought disciplinary proceedings against broker-dealer Cabot Lodge Securities [...]

Robert F. Spiegel Suspended by FINRA for Excessive and Unsuitable Trading

Robert F. Spiegel Suspended by FINRA for Excessive and Unsuitable Trading

Kevin J. Deloatch, Esq.2020-04-22T23:22:23-05:00April 14th, 2020|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Robert F. Spiegel (CRD # 5861656) was recently suspended from the securities [...]

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 [...]

Robert James D’Andria Suspended by FINRA for Unsuitable Recommendations

Robert James D’Andria Suspended by FINRA for Unsuitable Recommendations

Kevin J. Deloatch, Esq.2020-04-22T21:50:39-05:00April 8th, 2020|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Robert James D’Andria (CRD # 1916172) was recently suspended from the securities [...]

John Chrysadakis Barred from the Securities Industry by FINRA

John Chrysadakis Barred from the Securities Industry by FINRA

Kevin J. Deloatch, Esq.2020-04-09T11:56:17-05:00April 7th, 2020|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor John Chrysadakis (CRD # 5680661) was recently barred from the securities industry [...]

FINRA Suspends Daniel R. Castoriano for Unauthorized Discretion

FINRA Suspends Daniel R. Castoriano for Unauthorized Discretion

Kevin J. Deloatch, Esq.2020-04-06T14:46:03-05:00April 6th, 2020|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Daniel R. Castoriano (CRD # 4229838) was recently suspended from the securities [...]

FINRA Sanctions Jerry Michael Wells for Multiple Securities Violations

FINRA Sanctions Jerry Michael Wells for Multiple Securities Violations

Kevin J. Deloatch, Esq.2020-03-27T19:50:14-05:00March 27th, 2020|Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Jerry Michael Wells (CRD # 1015358), currently with Rochester, NY based Sagepoint [...]

FINRA Sanction: Ezri Shechter Suspended from the Securities Industry

FINRA Sanction: Ezri Shechter Suspended from the Securities Industry

Kevin J. Deloatch, Esq.2020-03-24T15:49:49-05:00March 24th, 2020|FINRA - Broker Actions, Fraud, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Ezri ("Eddie") Shechter (CRD # 2772177), currently with Jersey City, NJ based [...]

FINRA Sanctions Cecil Allen Ross for Unsuitable Recommendations

FINRA Sanctions Cecil Allen Ross for Unsuitable Recommendations

Kevin J. Deloatch, Esq.2020-03-20T15:39:09-05:00March 20th, 2020|FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Cecil Allen Ross (CRD # 2391047), currently with San Angelo, TX based [...]