Author: The White Law Group
Sean Barakat, Spartan Capital, FINRA Complaint
Spartan Capital Broker Sean Barakat Allegedly Excessively Traded Accounts According to the Financial Industry Regulatory Authority (FINRA)...
Tory Duggins, Spartan Capital, Suspended
FINRA Suspends Tory Duggins after Allegations of Excessive Trading According to the Financial Industry Regulatory Authority (FINRA), the...
Gregory Corrie Allegations of “Excessive Use of UIT Products”
Cambridge Advisor Gregory Corrie Barred from Securities Industry According to public records on August 20th, 2024, the Financial Industry...
John Christoforidis, Spartan Capital, Barred by FINRA
FINRA Bars John Christoforidis after Allegations of Broker Misconduct According to the Financial Industry Regulatory Authority (FINRA), the...
FINRA Bars David Tall after Allegations
David Victor Tall, Osaic Wealth, Barred by Securities Regulator According to the Financial Industry Regulatory Authority (FINRA), the...
SEC Hits 26 Firms with $390 Million in Fines
26 Firms Fined for Failure to Retain Texts and Chats In a now-common scenario, the SEC has reportedly fined 26 broker-dealers, investment...