Author: D. Daxton White
Maria Duarte Pumariega barred from FINRA
FINRA recently announced that Maria Duarte Pumariega, a financial advisor formerly registered with Wachovia Securities in Miami, Florida,...
Vero Beach, Florida Securities Fraud Attorney
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance...
FINRA Fines Fifth Third Securities $1.75 Million
The Financial Industry Regulatory Authority (FINRA) announced in April that it has fined Fifth Third Securities, Inc., (FTS) of Cincinnati,...
Dana Reece Anderson barred from the securities industry
FINRA recently announced that Dana Reece Anderson, formerly of Intersecurities, Inc. in Waterloo, Iowa, has been censured and barred from...
CP Capital Securities, Inc. fined for securities violations.
FINRA recently announced that CP Capital Securities, Inc., a registered broker-dealer based in Miami, Florida, has been fined $21,500 for...
Bear Stearns & Co., Inc. (n/k/a J.P. Morgan Securities, Inc.) fined and censured by FINRA for securities violations
FINRA recently announced that Bear Stearns & Co., Inc. (n/k/a J.P. Morgan Securities, Inc.) has been fined $500,000 and censured for...