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Tag: broker investigation

Edward Mercer, Cambridge Investment, Barred by FINRA  featured by top securities fraud attorneys, the White Law Group

Broker Investigations, FINRA SEC Sanctions

November 30, 2023

Edward Mercer, Cambridge Investment, Barred by FINRA  

FINRA Bars Cambridge Investment Broker Edward Mercer after Allegations of Selling Away   According to public records, on November 15,...

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Robert Lee Golding Barred by FINRA  featured by top securities fraud attorneys, the White Law Group

Broker Investigations, FINRA SEC Sanctions

November 29, 2023

Robert Lee Golding Barred by FINRA  

FINRA Bars Robert Lee Golding after Allegations of Forgery  According to public records, on November 27, 2023, FINRA, the self-regulator...

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Aegis Advisor Keith Curtis Barred by FINRA featured by top securities fraud attorneys, the White Law Group

Broker Investigations, FINRA SEC Sanctions

November 29, 2023

Aegis Advisor Keith Curtis Barred by FINRA  

FINRA Bars Keith Curtis after Allegations of Conversion of Funds   According to public records, on November 16, 2023, FINRA, the...

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Broker Robert Silvestri Barred by FINRA featured by top securities fraud attorneys, the White Law Group

Broker Investigations, FINRA SEC Sanctions

November 29, 2023

Broker Robert Silvestri Barred by FINRA 

FINRA Bars Robert Silvestri after Allegations of Loan from Customer  According to public records, FINRA, the self-regulator that oversees...

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Advisor Christopher Turean Pleads Guilty to Embezzlement, featured by top securities fraud attorneys, the White Law Group

Broker Investigations

November 28, 2023

Advisor Christopher Turean Pleads Guilty to Embezzlement 

Christopher Turean Pleads Guilty to $4.6 Million Embezzlement According to article from Fox59 newson November 21, Christopher Turean,...

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Hector Hernandez Barred by FINRA featured by top securities fraud attorneys, the White Law Group

Broker Investigations, FINRA SEC Sanctions

November 28, 2023

Hector Hernandez Barred by FINRA 

FINRA Bars Hector Hernandez after Allegations of Outside Business Activities  According to public records, FINRA, the self-regulator that...

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