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Broker Investigations

Billy Stanage Jr., Commonwealth Advisor, Barred by Regulators featured by top securities fraud attorneys, the White Law Group

Broker Investigations, FINRA SEC Sanctions

August 1, 2023

Billy Stanage Jr., Commonwealth Advisor, Barred by Regulators 

Billy Stanage Allegedly Obtained Loan from Client  On July 20, 2023, FINRA, the regulator who oversees brokers and brokerage firms, barred...

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Clarice Saw Charged with Defrauding Elderly Client, featured by top securities fraud attorneys, the White Law Group

Broker Investigations

July 31, 2023

Clarice Saw Charged with Defrauding Elderly Client  

New York Advisor Clarice Saw Charged with Defrauding Elderly Client of $2.4 Million According to reports this week, the SEC charged...

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Concorde Investment Services featured by top securities fraud attorneys the White Law Group

Broker Investigations, FINRA SEC Sanctions

July 31, 2023

Concorde Investment Services Fined by FINRA 

The White Law Group reviews the regulatory history of Concorde Investment Services.   Concorde Investment Services,...

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Robert Gerstein, Merrill Lynch Broker, Suspended by Regulator featured by top securities fraud attorneys, the White Law Group

Broker Investigations, FINRA SEC Sanctions

July 25, 2023

Robert Gerstein, Merrill Lynch Broker, Suspended by Regulator

FINRA Suspends Merrill Lynch Broker Robert Gerstein for Allegations of Unsuitable Trading According to reports this week, FINRA has fined...

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Lynn Bryant Barred by Securities Regulator  featured by top securities fraud attorneys, the White Law Group

Broker Investigations

July 24, 2023

Lynn Bryant Barred by Securities Regulator  

FINRA Bars LPL Broker Lynn Bryant after Allegations of Private Securities Transactions   FINRA, the regulator who oversees broker and...

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Darien Bonney Barred by FINRA featured by top securities fraud attorneys, the White Law Group

Broker Investigations, FINRA SEC Sanctions

July 21, 2023

Darien Bonney Barred by FINRA 

Darien Bonney Allegedly Sold Unregistered Securities to Clients  According to public records on FINRA’s website, Broker Darien Bonney...

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