Author: The White Law Group
Dempsey Lord Smith Sanctioned for GPB Capital Offerings
Dempsey Lord Smith Censured & Fined for Unsuitable Sales of GPB Capital Offerings FINRA Reportedly Sanctions Dempsey Lord Smith for...
BD4RIA Inc. Sanctioned for Misconduct regarding GPB Offering
FINRA Reportedly Censures and Fines BD4RIA Inc. for withholding Material information involving GPB Holdings II LP According to The...
Geneos Wealth Sanctioned for LJM Funds & GPB Funds
FINRA Censures and Fines Geneos Wealth Management for Rules Violations involving LJM Funds & GPB Funds According to The Financial...
FINRA Lawsuit filed against Stifel, Nicolaus & Company, Inc.
The White Law Group announces the filing of a FINRA Lawsuit against Stifel, Nicolaus & Company, Inc. The White Law Group announces...
Mass. Securities Regulator Investigates Firms on Interest Rates
Mass. Regulator inquires if Merrill Lynch, LPL Financial, and others are raising rates. According to numerous reports, Massachusetts...
Paul Koch Barred from Securities Industry
FINRA Investigation Alleges Broker Paul Koch Recommended Risky, Unsuitable Investments According to a Letter of Acceptance Waiver and...