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Broker Investigations

Broker Investigations

Broker Michael Brickman Barred by FINRA 

Michael Brickman Barred by Securities Regulators  According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA)...

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Broker Investigations

Broker Gary Chang Allegedly Misappropriated Customer Funds 

Ex-Morgan Stanley Broker Gary Chang Barred by Securities Regulators  According to a press release, Chingyuan “Gary” Chang, a...

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Broker Investigations

Brett Hartvigson Barred from Securities Industry 

FINRA Bars Broker Brett Hartvigson after Allegations of Overconcentration According to the Financial Industry Regulatory Authority...

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Blog, Broker Investigations, FINRA SEC Sanctions

Luke Michael Johnson Suspended by FINRA

Broker Luke Michael Johnson of Coastal Equities (now known as Realta Equities) Sanctioned for Unsuitable Investments The White Law Group...

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Broker Investigations, FINRA SEC Sanctions

Jesus Rodriguez Charged with Defrauding Advisory Clients 

 Ex-Morgan Stanley Advisor Allegedly Defrauded 10 Clients of $3.45 Million  The Securities and Exchange Commission (SEC) has reportedly...

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Broker Investigations

Lawsuits filed against Investment Advisor Brooklynn Willy 

Brooklynn Willy Allegedly Recommended High Risk Investments  According to the San Antonio Express News, San Antonio investment adviser and...

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