Month: March 2021
Trevor Rahn, Former JP Morgan Broker Suspended for 18 Months
FINRA Reportedly Suspends Trevor Rahn After Allegations of Unauthorized Trades, Unsuitable Trading Strategy According to the Financial...
FINRA Fines Surge 43% in 2020
FINRA sees 43% increase in fines, yet disciplinary actions were only up 1% in 2020. The Financial Industry Regulatory Authority Inc....
James Schwartz (Jim Schwartz) Barred after Churning Allegations
Update on Investigation: Jim Schwartz, Aegis Capital Corp., has 12 Customer Complaints The White Law Group is continuing its investigation...
Broker John Krohn Reportedly Sued for $39.2 Million in Damages
Three Investor Lawsuits Allege John Krohn was Selling Unapproved Securities According to an article in Investment News yesterday, former...
FINRA Complaint: Ex-Aegis Advisor Kishan Parikh
FINRA Complaint Alleges Broker Kishan Parikh made Unsuitable Investments, Excessive Trades According to public records, the Financial...
Cambridge Investment Research Overview
The White Law Group is investigating potential securities claims involving Cambridge Investment Research Inc. (CRD# 39543, Fairfield,...
