Broker Investigations
Roger Gallagher Barred after Allegations of Misconduct
Roger Gallagher: Broker Investigation FINRA reportedly barred former Morgan Stanley broker Roger Albert Taft Gallagher (CRD#: 5513745)...
Carlton Fletcher, Dinosaur Financial, Allegedly Converted Funds
FINRA Bars Carlton Fletcher after Allegations of Broker Misconduct According to the Financial Industry Regulatory Authority, the regulator...
David Geake Complaints and Review Update
David Geake Investigation Update The White Law Group is investigating potential securities fraud lawsuits involving broker David Geake. If...
Alfred Vanderlaan, Westpark Capital, Customer Complaints
Alfred Vanderlaan Suspended for Unsuitable GWG Bond Sales According to public records on January 22nd, 2025, The Financial Industry...
Kaival Patel, ex-Stifel Broker, Sentenced for Fraud
New York Financial Advisor Kaival Patel Convicted of Fraud and Money Laundering Kaival Patel, a financial advisor from West New York, New...
Justin Pagel Suspended by Regulators
FINRA Suspends Justin Pagel, Feltl & Co. Broker for Misconduct Allegations According to public records on January 16th, 2025, The...
