Broker Investigations
Aegis Broker Alan Z. Appelbaum Barred after Allegations
Alan Appelbaum Allegedly made Unsuitable, Unauthorized Trades The White Law Group continues to investigate potential securities claims...
Sean Pong, U.S. Bancorp, Barred by FINRA
FINRA Bars Sean Pong after Allegations of Outside Business Activities According to public records, on June 7, 2023, FINRA, the...
Michael Fasciglione Barred by FINRA
FINRA Bars Michael Fasciglione after 23 Investor Disputes The White Law Group is investigating potential securities claims involving...
Edward Mercer, Cambridge Investment, Barred by FINRA
FINRA Bars Cambridge Investment Broker Edward Mercer after Allegations of Selling Away According to public records, on November 15,...
Robert Lee Golding Barred by FINRA
FINRA Bars Robert Lee Golding after Allegations of Forgery According to public records, on November 27, 2023, FINRA, the self-regulator...
Aegis Advisor Keith Curtis Barred by FINRA
FINRA Bars Keith Curtis after Allegations of Conversion of Funds According to public records, on November 16, 2023, FINRA, the...
