Author: The White Law Group
IBN Financial Services: Regulatory History Overview
The White Law Group reviews the regulatory history of IBN Financial Services Inc. IBN Financial Services (CRD No. 42360), a FINRA member...
Ceros Financial Services Censured and Fined $90,000
FINRA Fines Ceros Financial Services for Rules Violations The Financial Industry Regulatory Authority reportedly sanctioned Ceros Financial...
Alfred Vanderlaan, Westpark Capital, Customer Complaints
Alfred Vanderlaan Suspended for Unsuitable GWG Bond Sales According to public records on January 22nd, 2025, The Financial Industry...
Zona Energy Inc.: Broker Fraud Complaints
SEC Charges Arete Reps with Broker Fraud Involving Zona Energy Inc. The SEC has reportedly charged Arete Wealth Management LLC, its...
Rubicon Advisor Allegedly Misappropriated $20 Million from Clients
Securities Regulators Charge Pennsylvania Advisor, Rubicon Wealth with Fraud The SEC reportedly charged former Pennsylvania investment...
Justin Pagel Suspended by Regulators
FINRA Suspends Justin Pagel, Feltl & Co. Broker for Misconduct Allegations According to public records on January 16th, 2025, The...
