FINRA SEC Sanctions
Purshe Kaplan Brokers William Weisbrod and Lilia Nia Sanctioned
FINRA Sanctions Brokers William Weisbrod and Lilia Nia after Allegations of Illegal Trading Activity FINRA, the regulator who oversees...
Concorde Investment Services Fined by FINRA
The White Law Group reviews the regulatory history of Concorde Investment Services. Concorde Investment Services,...
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...
Eugene Kim Allegedly Defrauded Investors
FINRA Accuses Eugene Kim (Gene Kim) of Broker Misconduct involving Private Placement Investment The Financial Industry Regulatory...