Broker Investigations
Juan Carlos Sosa Barred by FINRA
Juan Carlos Sosa Allegedly Converted Customer’s Funds According to a letter of acceptance on March 19, 2024, the Financial Industry...
Ron Bucher Barred by FINRA
Ron Bucher, Pinnacle Investments: Customers Allege Unauthorized Trading According to a letter of acceptance, the Financial Industry...
Matthew Chimento Barred by FINRA
Matthew Chimento Allegedly Misappropriated Client Funds According to a letter of acceptance, the Financial Industry Regulatory Authority...
Jae Hun Kim Barred by FINRA
Jae Hun Kim Barred after Customer Complaints According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has...
Charles Kulch, Next Financial Sanctioned by New Hampshire
New Hampshire Penalizes Charles Kulch and Next Financial Charles C. Kulch has recently been banned from selling securities in New...
Helen Caldwell Faces Fraud Charges after FINRA Bar
Ex-Citigroup Advisor Helen Caldwell Allegedly Defrauded Investors The White Law Group continues to investigate claims involving Helen...
