Author: The White Law Group
3 Cetera Firms to pay $1 Million for Supervisory Issues
FINRA Censures and Fines Cetera for Alleged Supervisory Issues According to a Letter of Acceptance Waiver and Consent (AWC) signed December...
Christopher Fernan Barred from Securities Industry
FINRA Reportedly Bars Christopher Fernan after Alleged Dismissal from Salomon Whitney According to a Letter of Acceptance Waiver and...
iMATCHative, Inc. Securities Investigation
Investigating Claims Involving iMATCHative, Inc. The White Law Group is investigating potential securities claims involving broker...
RBC Capital Markets LLC to pay Investors for 529 Savings Plan Overcharges
RBC Capital Markets’ Supervisory Failures result in almost $700,000 in Overcharges According to a Letter of Acceptance Waiver and Consent...
D.A. Davidson & Co. Advisor Kathleen Bott Barred from Securities Industry
FINRA Reportedly Investigates Former D. A. Davidson Advisor Kathleen Bott for Alleged Theft of Funds According to a Letter of Acceptance...
Investor Alert: Power 5 Conference Student Housing I DST
Power 5 Conference Student Housing I DST, Securities Investigation Are you concerned about your investment in Power 5 Conference Student...
