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FINRA SEC Sanctions

Purshe Kaplan Brokers William Weisbrod and Lilia Nia Sanctioned Feature by top securities fraud attorneys at The White Law Group.

Broker Investigations, FINRA SEC Sanctions

August 8, 2023

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...

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Billy Stanage Jr., Commonwealth Advisor, Barred by Regulators featured by top securities fraud attorneys, the White Law Group

Broker Investigations, FINRA SEC Sanctions

August 1, 2023

Billy Stanage Jr., Commonwealth Advisor, Barred by Regulators

Billy Stanage Allegedly Obtained Loan from Client On July 20, 2023, FINRA, the regulator who oversees brokers and brokerage firms, barred...

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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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