logo_web_wht
(888) 637-5510

Broker Investigations

Broker Investigations, Investment Loss Recovery

Chuck Roberts, Stifel Nicolaus, Structured Notes Lawsuits

Stifel Advisor Chuck Roberts Faces $25 Million in Customer Claims Over Structured Notes  The White Law Group continues to investigate...

Read More

Broker Investigations, FINRA SEC Sanctions

John Engler Sr. Barred by FINRA 

John Engler Sr. Allegedly Misappropriated Customer’s Funds  According to a letter of acceptance on April1, 2024, the Financial Industry...

Read More

Broker Investigations, FINRA SEC Sanctions

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...

Read More

Broker Investigations, FINRA SEC Sanctions

Ron Bucher Barred by FINRA 

Ron Bucher, Pinnacle Investments: Customers Allege Unauthorized Trading  According to a letter of acceptance, the Financial Industry...

Read More

Broker Investigations

Matthew Chimento Barred by FINRA 

Matthew Chimento Allegedly Misappropriated Client Funds  According to a letter of acceptance, the Financial Industry Regulatory Authority...

Read More

Broker Investigations

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...

Read More