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Author: The White Law Group

Blog, Current Investigations

Charles Kenahan Reportedly Barred after Allegations of Churning

Boston Broker Charles Kenahan, of Merrill Lynch, Barred after Customer Suits Allege Excessive Trades/Churning and Unsuitable Investments...

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Blog, Current Investigations

FINRA fines Goldman Sachs $1.25M for Failing to Fingerprint Reps

Goldman Sachs Sanctioned for Failure to Supervise According to the Financial Industry Regulatory Authority (FINRA), the regulator has...

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Publications

WEAU: Former Altoona Investment Advisor Barred from Securities Industry

Michael Shillin, financial advisor based in Altoona, Wisconsin,  has been barred from working in the securities industry by the Financial...

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Blog, Current Investigations

Former Laidlaw Broker Bryan Mazliach Barred from Securities Industry

Laidlaw’s Bryan Mazliach Reportedly Barred for Allegations of Excessive & Unsuitable Trading According to a default decision posted...

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Blog, Securities Fraud Articles

SEC Updates List of Unregistered Entities Soliciting Investors

PAUSE List adds 28 Soliciting entities, 3 Impersonators, and 6 Fake Regulators According to a press announcement today, the Securities and...

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Blog, Current Investigations

MSI Financial’s Gary Wayne Hammond Barred

FINRA Reportedly Bars Broker Gary Hammond for Allegations of Fraudulent Securities Sales According to the Financial Industry Regulatory...

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