Broker Investigations
Sean Barakat Barred by FINRA for Failing to Testify Amid Churning Investigation (2026 Update)
Sean Barakat Barred by FINRA in 2026 According to a decision issued by the Financial Industry Regulatory Authority (FINRA) on April 13,...
Paul Snow IV, Raymond James, Broker Misconduct Investigation
Raymond James Financial Broker Investigation: Paul Snow IV Investors who worked with Paul Snow IV(CRD #2963153) and Raymond James Financial...
Anthony Sica Barred by FINRA: History of Misconduct and Customer Complaints
Anthony Sica Barred by FINRA: History of Misconduct and Customer Complaints The White Law Group is investigating potential claims involving...
Winston Felix, Edward Jones: Investor Lawsuit Investigation
Winston Felix (Edward Jones) Complaints & Investigation | Unsuitable Investment Allegations The securities fraud attorneys at White Law...
Aaron Sevigny, United Planners | New Investor Lawsuits
Aaron Sevigny, United Planners Lawsuit: New 2026 Investor Complaints Allege Fraud, RICO Violations, and Million-Dollar Losses The White Law...
Roger Roemmich, Alexander Capital: Investor Losses Investigation
Broker Investigation: Roger Roemmich Roger Roemmich, (CRD #1293322) a formerly registered broker and investment adviser, has reportedly...
