Broker Investigations
Chicago Advisor David Wells Allegedly Defrauded Clients
SEC Bars David Wells for Allegedly using Senior Clients’ Cash for Secret Options Trading The SEC has reportedly barred David Sheldon...
Rosaline Alam, Pruco Securities, Barred by FINRA
FINRA Bars Rosaline Alam after Allegations of Misappropriation of Funds According to public records, the Financial Industry Regulatory...
Gino Rahman, Merrill Lynch, Barred by FINRA
FINRA Bars Gino Rahman, Merrill Lynch Broker, after Allegations According to public records, the Financial Industry Regulatory Authority...
Three Brokers Barred in Horizon Ponzi Scheme
SEC Bars Three Brokers in Horizon Ponzi Scheme Today the US Securities and Exchange Commission (SEC) announced it has settled charges with...
Gabriel Edelman, ex-Spartan Capital Broker, Barred by SEC
SEC Charges Gabriel Edelman with Crypto Scheme According to Investment News on Friday, the SEC has reportedly barred Gabriel Edelman, a...
Broker Christopher Kennedy Barred after Allegations of Churning
FINRA Bars Christopher Kennedy, Western International Broker The White Law Group continues to investigate potential securities claims...
