Author: The White Law Group
Maria De Los Angeles Leon Allegedly Misappropriated Funds
FINRA Bars Former PNC Advisor Maria De Los Angeles Leon for Allegedly Misappropriating Funds According to public records, The Financial...
Ashlee Godfrey Barred after 7 Customer Complaints
FINRA Bars Former Wells Fargo Advisor Ashlee Godfrey According to public records, The Financial Industry Regulatory Authority (FINRA) has...
Vanguard Settles Class Action Lawsuit for $40 Million
Vanguard Group Agrees to Settle Suit over Target Date Funds Vanguard Group has reportedly agreed to a $40 million settlement to resolve a...
Sean Michael Kane Allegedly Deceived Clients
SEC Bars Sean Michael Kane after Allegations of Misconduct The SEC has reportedly barred Sean Michael Kane, a financial advisor from...
Invesco to Pay $17.5 M for Misleading Clients
SEC Charges Invesco with Misleading Claims Regarding ESG The U.S. Securities and Exchange Commission (SEC) recently charged Invesco...
SEC Chair Gary Gensler may Resign Following Trump Win
Regulatory Shift after 2024 Election Following Donald Trump’s victory in the presidential election, many in the finance and advisory...