Author: The White Law Group
Ex-Summit Broker Victor Rigoni III Suspended from the Securities Industry
FINRA Reportedly Suspends Victor Rigoni III for Allegations of Undisclosed Tax Liens According to the Financial Industry Regulatory, on May...
Broker John Swon IV, of Royal Alliance, Barred from Securities Industry
FINRA Bars Royal Alliance Broker John Swon IV after allegations of Misappropriated Funds According to public records on FINRA’s website,...
Sanctuary Securities to pay $500,000 for Supervisory Failures
FINRA Sanctions Sanctuary Securities Inc. for Reps Unsuitable ETF Sales The White Law Group is investigating potential securities claims...
Ex-Morgan Stanley Broker Michael Paesano has 24 Customer Complaints
Customer Lawsuits Allege Broker Michael Paesano Excessively Traded Accounts According to his FINRA broker record, former Morgan Stanley...
Stuart Pearl, David A. Noyes & Co. Broker Suspended
FINRA Reportedly Suspends Advisor Stuart Pearl after Allegations of Unsuitable ETF Recommendations According to public records posted on...
Christopher Orlando, Former Worden Financial Advisor, Barred from Securities Industry
FINRA Bars Advisor Christopher Orlando after Allegations of Excessive Trading According to the Financial Industry Regulatory Authority...
