Securities Fraud Articles
The SEC charges Adviser Douglas Elstun with Fraud
Investment Adviser Douglas Elstun, Lenexa, KS charged with Defrauding Clients According to a press announcement on March 30, the Securities...
Raymond James Broker Gary Dodds Sanctioned for Churning/Excessive Trading
Oregon reportedly fines Advisor Gary Dodds for alleged financial exploitation of five elderly clients. According to an article in Gorge...
American Independent Securities Group to pay $275,000 to Customers
FINRA sanctions American Independent Securities Group for Supervisory Issues The White Law Group is investigating potential securities...
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...
