Tag: broker investigation
Paul Trimber Barred by FINRA
Paul Trimber, Wells Fargo Advisor, Allegedly Converted Senior Customer’s Funds According to public records, FINRA, the broker-dealer...
John Engler Sr. Barred by FINRA
John Engler Sr. Allegedly Misappropriated Customer’s Funds According to a letter of acceptance on April1, 2024, the Financial Industry...
William King, Merrill Lynch Broker has 29 Customer Complaints
Concerned about investment losses with Merrill Broker William King in Vero Beach, Florida? The White Law Group is currently representing...
Helen Caldwell Faces Fraud Charges after FINRA Bar
Ex-Citigroup Advisor Helen Caldwell Allegedly Defrauded Investors The White Law Group continues to investigate claims involving Helen...
Luke Michael Johnson Suspended by FINRA
Broker Luke Michael Johnson of Coastal Equities (now known as Realta Equities) Sanctioned for Unsuitable Investments The White Law Group...
Scott Matalon, RBC Capital, Barred by FINRA
FINRA Bars RBC Broker Scott Matalon after Allegations According to public records, FINRA, the self-regulator, has reportedly barred...
