FINRA SEC Sanctions
SoFi Financial Pays $1.1 Million Fine
FINRA Charges SoFi Financial after Unauthorized Funds Transfers SoFi Financial, headquartered in San Francisco and catering to...
Newbridge Securities Corp.: Investor Dispute
Newbridge Securities Corp. Lawsuit Alleges Unsuitable Investments and Failure to Supervise The White Law Group announces today the filing...
Michael Gravelyn, Northwestern Mutual, Barred by FINRA
FINRA Bars Northwestern Mutual Broker Michael Gravelyn after Allegations According to public records, FINRA, the self-regulator, has...
John Engler Sr. Barred by FINRA
John Engler Sr. Allegedly Misappropriated Customer’s Funds According to a letter of acceptance on April1, 2024, the Financial Industry...
Juan Carlos Sosa Barred by FINRA
Juan Carlos Sosa Allegedly Converted Customer’s Funds According to a letter of acceptance on March 19, 2024, the Financial Industry...
Principal Securities Lawsuit Alleges Churning
Principal Securities Facing Claims for Churning Allegations Principal Securities Inc. is facing legal trouble in Minnesota, where a lawsuit...
