Broker Investigations
John F. Davenport and J. Davenport Advisors Ordered to Cease and Desist
John F. Davenport and J. Davenport Advisors: Connecticut Regulators Move to Shut Down Norwalk Adviser The securities attorneys at The White...
Eduardo Leon Jr., Global Financial Services, Broker Investigation
Eduardo Leon Jr. Suspended by FINRA for Undisclosed $750,000 Loan From Client The Financial Industry Regulatory Authority (FINRA) has...
Michael Archimede, PFS Investments, Barred Broker
FINRA Bars and Suspends Michael Archimede After Allegations of Loan from Customer Have you suffered losses investing with Michael Archimede...
David Taddeo, LPL Financial: Customer Complaints, FINRA Sanctions, and Lawsuits
David Taddeo, LPL Financial: Customer Complaints, FINRA Sanctions, and Lawsuits The White Law Group is investigating potential securities...
Douglas McCauley: Complaints and Lawsuit Investigation After FINRA Bar
Broker Douglas McCauley Complaints and Lawsuit Investigation After Allegations Douglas John McCauley (CRD #1257811), also known as Doug...
Jennifer Ceterko, LPL Financial – Investigation – Outside Business Activities
Jennifer Ceterko, LPL Financial – Barred by FINRA – Outside Business Activities and Supervision Concerns FINRA...
