unsuitable | New York Criminal & Securities Attorney

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 [...]

Salvatore Pizzimenti Barred from Securities Industry by FINRA After Trading Investigation

Salvatore Pizzimenti Barred from Securities Industry by FINRA After Trading Investigation

Kevin J. Deloatch, Esq.2021-06-15T15:46:40-05:00June 15th, 2021|Churning, FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Salvatore Pizzimenti (CRD # 2879580) was recently barred from the securities industry by FINRA’s [...]

Independent Financial Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of Non-Traded REITs

Independent Financial Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of Non-Traded REITs

Kevin J. Deloatch, Esq.2021-05-02T20:34:10-05:00April 22nd, 2021|Markets and Products, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Independent Financial Group, LLC (CRD # 7717) was recently sanctioned by FINRA’s [...]

Joseph Ambrosole Suspended by FINRA From Securities Industry for Churning and Unsuitable Recommendations

Joseph Ambrosole Suspended by FINRA From Securities Industry for Churning and Unsuitable Recommendations

Kevin J. Deloatch, Esq.2022-08-09T19:13:37-05:00April 13th, 2021|Churning, FINRA - Broker Actions, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Joseph A. Ambrosole (CRD # 5732488) was recently suspended from the securities industry [...]

Louis Olave Suspended by FINRA From Securities Industry for Unapproved Sales of Future Income Payments, LLC

Louis Olave Suspended by FINRA From Securities Industry for Unapproved Sales of Future Income Payments, LLC

Kevin J. Deloatch, Esq.2021-04-12T19:34:11-05:00April 12th, 2021|FINRA - Broker Actions, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Louis M. Olave (CRD # 5904834) was recently suspended from the securities [...]

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 [...]

J.W. Cole Financial, Inc. Sanctioned by FINRA For Failure to Supervise Sales of LJM Preservation & Growth Fund

J.W. Cole Financial, Inc. Sanctioned by FINRA For Failure to Supervise Sales of LJM Preservation & Growth Fund

Kevin J. Deloatch, Esq.2021-03-31T19:19:48-05:00March 31st, 2021|Improper Mutual Fund Sales Practices, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, J.W. Cole Financial, Inc. (CRD # 124583) was recently sanctioned by FINRA’s [...]

Corey White Barred from All Principal Capacities by FINRA for Failure to Supervise Unsuitable and Excessive Trading

Corey White Barred from All Principal Capacities by FINRA for Failure to Supervise Unsuitable and Excessive Trading

Kevin J. Deloatch, Esq.2021-03-22T16:12:42-05:00March 22nd, 2021|FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/adviser and former Chief Compliance Officer Corey Andrew White (CRD # 4537015) was [...]

Charles Kenahan Barred from the Securities Industry by FINRA After Churning Investigation

Charles Kenahan Barred from the Securities Industry by FINRA After Churning Investigation

Kevin J. Deloatch, Esq.2021-01-25T20:33:57-05:00January 25th, 2021|Churning, FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser Charles Kenahan (CRD # 1351974) was recently barred from the securities [...]