Securities Fraud Articles
Financial Advisor Michael Barry Carter Sentenced to Prison
Michael Barry Carter Reportedly Pled Guilty to stealing at least $6.15 million Michael Barry Carter, former Morgan Stanley financial...
Lawsuit Filed Against Cetera over High-Risk Investments
FINRA Lawsuit Alleges Financial Advisor George Merhoff, Jr. made Unsuitable Investment Recommendations The White Law Group has submitted a...
Trevor Rahn, Former JP Morgan Broker Suspended for 18 Months
FINRA Reportedly Suspends Trevor Rahn After Allegations of Unauthorized Trades, Unsuitable Trading Strategy According to the Financial...
FINRA Fines Surge 43% in 2020
FINRA sees 43% increase in fines, yet disciplinary actions were only up 1% in 2020. The Financial Industry Regulatory Authority Inc....
Broker John Krohn Reportedly Sued for $39.2 Million in Damages
Three Investor Lawsuits Allege John Krohn was Selling Unapproved Securities According to an article in Investment News yesterday, former...
FINRA Complaint: Ex-Aegis Advisor Kishan Parikh
FINRA Complaint Alleges Broker Kishan Parikh made Unsuitable Investments, Excessive Trades According to public records, the Financial...
