Broker Investigations
Jeffrey Cohen, Moloney Securities, Barred from FINRA
Broker Investigation: Jeffrey Cohen of Moloney Securities On June 5, 2023, the Financial Industry Regulatory Authority (FINRA) reportedly...
Stifel Broker Joseph Crespi Allegedly Churned Accounts
Stifel Nicolaus & Company to Pay $3.2 Million According to the Massachusetts Secretary of the Commonwealth William Galvin on May 1,...
Patrick Thayer Barred by Securities Regulator
FINRA Bars Patrick Thayer after Allegations of Misappropriating Clients Funds Update August 10, 2023: Financial advisor Patrick Thayer...
Paul R. McGonigle Pleads Guilty to Defrauding Clients
The White Law Group continues to investigate potential securities claims involving advisor Paul R. McGonigle. Financial advisor Paul R....
Austin Dutton, Newbridge, New FINRA Complaint
Broker Austin Dutton Suspended after 30 Customer Complaints The White Law Group continues to investigate potential claims involving...
Mark Cline Allegedly Recommended GWG L Bonds
Mark Cline Reportedly has 17 Customer Complaints Alleging Unsuitable Investment Recommendations According to the Financial Industry...
