Broker Investigations
Patrick Thayer Barred by Securities Regulator
FINRA Bars Patrick Thayer after Allegations of Misappropriating Clients Funds Update August 10, 2023: Financial advisor Patrick Thayer...
Next Financial Group: Broker Fraud, Regulatory Actions
The White Law Group is investigating potential securities claims involving Next Financial Group. Next Financial Group (CRD# 46214,...
Paul R. McGonigle Pleads Guilty to Defrauding Clients
The White Law Group continues to investigate potential securities claims involving advisor Paul R. McGonigle. Financial advisor Paul R....
Austin Dutton, Newbridge, New FINRA Complaint
Broker Austin Dutton Suspended after 30 Customer Complaints The White Law Group continues to investigate potential claims involving...
Mark Cline Allegedly Recommended GWG L Bonds
Mark Cline Reportedly has 17 Customer Complaints Alleging Unsuitable Investment Recommendations According to the Financial Industry...
Joseph Ambrosole Barred from Securities Industry
FINRA Bars Joseph Ambrosole after Allegations of Unsuitable and Excessive Trades According to the Financial Industry Regulatory Authority...
