FINRA SEC Sanctions
Robert Gerstein, Merrill Lynch Broker, Suspended by Regulator
FINRA Suspends Merrill Lynch Broker Robert Gerstein for Allegations of Unsuitable Trading According to reports this week, FINRA has fined...
Darien Bonney Barred by FINRA
Darien Bonney Allegedly Sold Unregistered Securities to Clients According to public records on FINRA’s website, Broker Darien Bonney...
Eugene Kim Allegedly Defrauded Investors
FINRA Accuses Eugene Kim (Gene Kim) of Broker Misconduct involving Private Placement Investment The Financial Industry Regulatory...
FINRA Suspends and Fines Broker John Hoidas after 10 Customer Complaints
Broker John Hoidas Suspended after 10 Customer Complaints The Financial Industry Regulatory Authority (FINRA) has reportedly suspended...
Hightower Securities LLC Overview
The White Law Group reviews the regulatory history of Hightower Securities LLC. Hightower Securities LLC...
PIMCO to Pay $9 Million for Fund Violations
SEC Charges PIMCO with Disclosure and Policy Violations The Securities and Exchange Commission reportedly charged registered...
