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FINRA SEC Sanctions

Concorde Investment Services featured by top securities fraud attorneys the White Law Group

Broker Investigations, FINRA SEC Sanctions

July 31, 2023

Concorde Investment Services Fined by FINRA

The White Law Group reviews the regulatory history of Concorde Investment Services. Concorde Investment Services,...

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Robert Gerstein, Merrill Lynch Broker, Suspended by Regulator featured by top securities fraud attorneys, the White Law Group

Broker Investigations, FINRA SEC Sanctions

July 25, 2023

Robert Gerstein, Merrill Lynch Broker, Suspended by Regulator

FINRA Suspends Merrill Lynch Broker Robert Gerstein for Allegations of Unsuitable Trading According to reports this week, FINRA has fined...

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Darien Bonney Barred by FINRA featured by top securities fraud attorneys, the White Law Group

Broker Investigations, FINRA SEC Sanctions

July 21, 2023

Darien Bonney Barred by FINRA

Darien Bonney Allegedly Sold Unregistered Securities to Clients According to public records on FINRA’s website, Broker Darien Bonney...

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broker investigation, FINRA complaint, Eugene Kim, National Securities Corp. featured by top securities fraud attorneys, the White Law Group

Blog, Broker Investigations, FINRA SEC Sanctions

July 13, 2023

Eugene Kim Allegedly Defrauded Investors

FINRA Accuses Eugene Kim (Gene Kim) of Broker Misconduct involving Private Placement Investment The Financial Industry Regulatory...

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David Geake Barred by Securities Regulator featured by top securities fraud attorneys, the White Law Group

Blog, Broker Investigations, FINRA SEC Sanctions

July 11, 2023

David Geake Barred by Securities Regulator

FINRA Bars Advisor David Geake after 25 Complaints The Financial Industry Regulatory Authority (FINRA), the broker-dealer...

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John Hoidas Suspended by Securities Regulator featured by top securiteis fraud attorneys The White Law Group

Blog, Broker Investigations, FINRA SEC Sanctions

July 10, 2023

FINRA Suspends and Fines Broker John Hoidas after 10 Customer Complaints

Broker John Hoidas Suspended after 10 Customer Complaints The Financial Industry Regulatory Authority (FINRA) has reportedly suspended...

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