Broker Investigations
John Perez-Cubero, Morgan Stanley, Barred
FINRA Bars John Perez-Cubero after Allegations of Conversion According to the Financial Industry Regulatory Authority (FINRA), the...
Sean Barakat, Spartan Capital, FINRA Complaint
Spartan Capital Broker Sean Barakat Allegedly Excessively Traded Accounts According to the Financial Industry Regulatory Authority (FINRA)...
Tory Duggins, Spartan Capital, Suspended
FINRA Suspends Tory Duggins after Allegations of Excessive Trading According to the Financial Industry Regulatory Authority (FINRA), the...
FINRA Bars David Tall after Allegations
David Victor Tall, Osaic Wealth, Barred by Securities Regulator According to the Financial Industry Regulatory Authority (FINRA), the...
Caz Craffy: Pleads Guilty after FINRA Bar
Caz Craffy Reportedly Sentenced to Prison After Guilty Plea The White Law Group continues to investigate potential securities claims...
Marat Likhtenstein, Osaic Wealth, Barred by FINRA
FINRA Bars Marat Likhtenstein after Allegations of Customer Loan Transactions According to the Financial Industry Regulatory Authority...
