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Written by 8:44 pm Blog, Current Investigations

Matthew Leon White Broker Investigation

Matthew Leon White Broker Investigation, featured by Top Securities Fraud Attorneys, The White Law Group

Financial Advisor Matthew Leon White, MML Investor Services in Little Rock, AR

Are you concerned about investments with Matthew Leon White in Little Rock, AR? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.

According to the Financial Industry Regulatory Authority on November 21, the regulator has reportedly barred financial advisor Matthew L. White after he allegedly failed to provide testimony relating to FINRA’s investigation into his recent alleged dismissal from his member firm, MML Investor Services.

According to a regulatory disclosure on White’s BrokerCheck report, in 2018 he was allegedly sanctioned by the state of Arkansas for misclassifying five real estate business ventures as  other business activities instead of private securities transactions.

White’s broker report indicates he was allegedly involved in the following “other business activities”: Harding Partners Properties LLC, Lark Stake LLC, White & Pola LLC, LOML LLC, Sunset Manor LLC, Galleon Retreat LLC and Epiphany Logistics LLC.

According to his FINRA BrokerCheck report, White was reportedly affiliated with MML Investor Services in Little Rock, AR from 2015 until 2018, when he was allegedly dismissed after he “failed to adequately disclose outside activities including their relationship to company business.” Prior to that, he was registered with Northwestern Mutual Investment Services for six years.

Investigating Potential Lawsuits

The White Law Group is investigating potential lawsuits regarding the liability that White’s employers may have for failure to properly supervise him.

When brokers violate securities laws, such as participating in private securities transactions, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration.

Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.

We represent investors in FINRA arbitration claims in all 50 states, including Arkansas. Our attorneys have recovered millions of dollars from many brokerage firms in the past.

If you are concerned about your investments with Matthew Leon White, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.

For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.


Tags: , , , , , , , , Last modified: November 22, 2019