Author: The White Law Group
Sherwin Sargeant barred by Securities Regulators
FINRA Bars Broker Sherwin Sergeant after Allegations of Misconduct According to public records on November 5th, 2024, The Financial...
Elan Sanker Barred after Allegations of Misconduct
FINRA Bars Merrill Lynch Advisor Elan Sanker According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly...
Robert Daly Jr. Barred after Complaints
FINRA Bars Morgan Stanley Advisor Robert Daly Jr. According to public records on October 8th, 2024, the securities regulator FINRA has...
Jeffrey Perryman, NYLife, Customer Complaints
Regulator Bar Jeffrey Perryman after Allegations of Undisclosed OBAs According to public records on October 7th, 2024, The Financial...
Merrill Lynch Harvest CYES Lawsuits Update
SEC Sanctions Merrill Lynch, Harvest for High Risk Trading Strategy: “Collateral Yield Enhancement Strategy” (CYES) According to a...
Victor Lessinger, Colorado Financial Services, Suspended
Victor Lessinger Allegedly Recommended Unsuitable Investments According to public records, The Financial Industry Regulatory Authority...