logo_web_wht
(888) 637-5510

Tag: finra sanctions

FINRA SEC Sanctions, Securities Fraud Articles

Arive Capital Markets Sanctioned for Supervisory Failures  

Arive Capital Markets Sanctioned for Supervisory Failures Arive Capital Markets, a registered brokerage firm, reportedly settled with...

Read More

FINRA SEC Sanctions

SoFi Financial Pays $1.1 Million Fine

FINRA Charges SoFi Financial after Unauthorized Funds Transfers SoFi Financial, headquartered in San Francisco and catering to...

Read More

FINRA SEC Sanctions, Securities Fraud Articles

LPL Financial Regulatory History Overview 

The White Law Group reviews the regulatory history of LPL Financial LLC.   LPL Financial LLC (CRD#: 6413/SEC#: 801-10970,8-17668) the...

Read More

Broker Investigations

Paul Trimber Barred by FINRA 

Paul Trimber, Wells Fargo Advisor, Allegedly Converted Senior Customer’s Funds  According to public records, FINRA, the broker-dealer...

Read More

Blog, FINRA SEC Sanctions, Securities Fraud Articles

Equitable Advisors (AXA Advisors) Regulatory Overview

The White Law Group reviews the regulatory history of Equitable Advisors (AXA Advisors). Equitable Advisors (formerly AXA advisors)(CRD#:...

Read More

Broker Investigations, FINRA SEC Sanctions

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...

Read More