FINRA SEC Sanctions
Wells Fargo Broker Joe David Gainer Jr. Barred by FINRA
Joe David Gainer Jr. Allegedly Accepted $3 Million Gift from Client According to the Financial Industry Regulatory Authority (FINRA), Joe...
Aegis Broker Alan Z. Appelbaum Barred after Allegations
Alan Appelbaum Allegedly made Unsuitable, Unauthorized Trades The White Law Group continues to investigate potential securities claims...
Sean Pong, U.S. Bancorp, Barred by FINRA
FINRA Bars Sean Pong after Allegations of Outside Business Activities According to public records, on June 7, 2023, FINRA, the...
BofA Securities Fined $24 Million for Spoofing
FINRA Fines BofA for Spoofing in Treasuries Market The Financial Industry Regulatory Authority (FINRA), the securities regulator, has...
Michael Fasciglione Barred by FINRA
FINRA Bars Michael Fasciglione after 23 Investor Disputes The White Law Group is investigating potential securities claims involving...
Edward Mercer, Cambridge Investment, Barred by FINRA
FINRA Bars Cambridge Investment Broker Edward Mercer after Allegations of Selling Away According to public records, on November 15,...
