Broker Investigations
Gary Bowman of Sagepoint Sanctioned for Unsuitable UITs
CFP Board Revocation, FINRA Suspends Gary Bowman, Sagepoint Financial According to a press release on March 1, 2022, the Certified...
Christopher Orlando, Former Worden Financial Advisor, Barred from Securities Industry
FINRA Bars Advisor Christopher Orlando after Allegations of Excessive Trading According to the Financial Industry Regulatory Authority...
Paul McGonigle Charged with Defrauding Clients
Advisor Paul McGonigle Reportedly Arrested after Allegations of Wire Fraud, Mail Fraud & Identity Theft According to a press...
Ex-LPL Broker Matthew Clason Barred after Theft Charges
Ex-LPL Broker Matthew Clason Reportedly Pleads Guilty to Theft Charges Update on Investigation The White Law Group is continuing its...
Jeffrey Fladell, RBC Capital Markets, Suspended from Securities Industry
Jeffrey Fladell Reportedly Suspended for Allegations of Unsuitable Recommendations involving 100 year old Customer According to the...
James Flower (Jim Flower) FINRA Investigation
James Flower, SW Financial, Melville, NY Advisor James Flower Reportedly Under Investigation for Churning Allegations According to the...
