Broker Investigations
Luke Michael Johnson Suspended by FINRA
Broker Luke Michael Johnson of Coastal Equities (now known as Realta Equities) Sanctioned for Unsuitable Investments The White Law Group...
Scott Matalon, RBC Capital, Barred by FINRA
FINRA Bars RBC Broker Scott Matalon after Allegations According to public records, FINRA, the self-regulator, has reportedly barred...
Jesus Rodriguez Charged with Defrauding Advisory Clients
Ex-Morgan Stanley Advisor Allegedly Defrauded 10 Clients of $3.45 Million The Securities and Exchange Commission (SEC) has reportedly...
Douglas McKelvey Settles Fraud Charges
Douglas McKelvey Allegedly Stole $1.7 Million from Elderly Customers A settlement was reportedly reached on January 24, 2024, in the case...
Michael Archimede, PFS Securities, Barred by FINRA
FINRA Bars Michael Archimede after Allegations of Loan from Customer The Financial Industry Regulatory Authority (FINRA) has reportedly...
David Arlein, Cabot Lodge Securities, 22 Customer Complaints
David Arlein Allegedly Misrepresented GWG L Bonds to Investors According to public records posted on FINRA’s website, broker David...
