Tag: broker investigation
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...
Jesus Rodriguez Charged with Defrauding Advisory Clients
Ex-Morgan Stanley Advisor Allegedly Defrauded 10 Clients of $3.45 Million The Securities and Exchange Commission (SEC) has reportedly...
Michael Archimede, PFS Securities, Barred by FINRA
FINRA Bars Michael Archimede after Allegations of Loan from Customer The Financial Industry Regulatory Authority (FINRA) has reportedly...
Lucas Hales, Virtua, Suspended by FINRA
Securities Regulator Suspends Lucas Hales for Private Securities Transactions The Financial Industry Regulatory Authority (FINRA) has...
Robert Starnes, Wisconsin Advisor, Charged with Fraud
Robert Starnes, SA Stone Wealth Advisor, Allegedly Stole Client Funds The White Law Group is investigating potential securities claims...
