Author: The White Law Group
Cetera CEO to Step Down this year
Adam Antoniades, Cetera CEO, to Step Down this year According to Investment News, Adam Antoniades, CEO of Cetera Financial Group, will...
Atria Wealth Solutions Regulatory Overview
LPL Financial Completes Acquisition of Atria Wealth October 1st, 2024: LPL Financial (NASDAQ: LPLA) has completed its acquisition of Atria...
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...