Author: The White Law Group
First Horizon Advisors Inc. Sanctioned by the SEC
First Horizon Fined for REG BI Violations regarding Structured Notes According to a press release on September 18, 2024, the SEC charged...
Kestra and iCapital’s Alternative Investment Platform
Kestra Financial to expand with iCapital’s Alternative Investment Platform Kestra Financial is reportedly expanding its strategic...
John Perez-Cubero, Morgan Stanley, Barred
FINRA Bars John Perez-Cubero after Allegations of Conversion According to the Financial Industry Regulatory Authority (FINRA), the...
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...
