Author: The White Law Group
Aegis Capital Corp. Censured & Fined $93,125
FINRA Sanctions Aegis Capital Corp., New York, NY According to FINRA’s September Disciplinary report, on July 10, 2019, the regulator...
Kevin P. Smith Broker Investigation
Financial Advisor Kevin P. Smith, Morgan Stanley in Minneapolis, MN Are you concerned about investments with Kevin P. Smith in Minneapolis,...
Lance Ziesemer Broker Investigation
Financial Advisor Lance Ziesemer, Feltl & Co. in Wayzata, MN Are you concerned about investments with Lance Ziesemer in Wayzata, MN? If...
Planmember Securities Corp. Censured & Fined $90,000
FINRA Sanctions Planmember Securities Corp., Carpinteria, CA According to FINRA’s September Disciplinary report, on July 3, 2019, the...
Robert A. Kahn (Rob Kahn) Broker Investigation
Financial Advisor Robert A. Kahn, Edward Jones in Creve Coeur, MO Are you concerned about investments with Robert A. Kahn in Creve Coeur,...
Mark A. Trewitt Broker Investigation
Financial Advisor Mark A. Trewitt, VFG Securities in Plano, Texas Are you concerned about investments with Mark A. Trewitt in Plano, Texas?...
