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Author: D. Daxton White

Douglas Miller and Gary Rathbun Barred by FINRA featured by top securities fraud attorneys, The White Law Group

Broker Investigations, FINRA SEC Sanctions

July 19, 2016

Douglas Miller and Gary Rathbun Barred by FINRA

FINRA Bars Triad Advisors, Douglas Miller and Gary Rathbun, Selling Away According to FINRA, Douglas Miller (CRD #1946240, Bowling Green,...

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Blog

July 19, 2016

Lizabeth Ty barred from securities industry.

According to FINRA, Lizabeth Gotuaco Ty (CRD #4737319, Sugarland, Texas) recently submitted an AWC in which she was barred from association...

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Andrew Todd Yocum

Blog

July 19, 2016

Investor Alert: Financial Advisor Andrew Yocum

Investigation of Andrew Todd Yocum and Morgan Stanley According to FINRA, Andrew Todd Yocum (CRD #4590723, Ocala, Florida) recently...

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Blog

July 19, 2016

Centaurus Financial enters in to AWC with FINRA over UIT sales

According to FINRA’s website, Centaurus Financial recently entered in to a Letter of Acceptance, Waiver, and Consent (AWC) with...

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Blog

July 19, 2016

FINRA Sanctions Ameriprise for closed-end fund sales

According to FINRA’s website, Ameriprise Financial recently entered in to a Letter of Acceptance, Waiver, and Consent (AWC) with...

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Blog, Current Investigations

July 18, 2016

Investor Alert: Rydex Sector Rotation Fund

Have you suffered losses investing in Rydex Sector Rotation Fund?  If so, the securities attorneys of The White Law Group may be able...

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