Tag: FINRA
Louis Goff, Wells Fargo Advisor, Barred by FINRA
Louis Goff Barred after Securities Fraud Allegations According to an article in Investment News, broker Louis Goff, formerly registered...
Keith Baron Charged with Misrepresentation
FINRA Investigates Keith Baron, Equity Services Advisor for Broker Misconduct According to public records on December 14, 2023, the...
Eric Kubiak Barred by FINRA
Ameriprise Advisor Eric Kubiak Barred after Allegations of Outside Business Activities According to public records on December 14, 2023,...
Ex-Sagepoint Broker Thomas Corsaro Sentenced to Prison
Thomas Corsaro Pleads Guilty to Defrauding Investors of $1.7 Million According to reports on December 8, 2023, former financial...
Barred LPL Broker Andrew Komarow Charged with Fraud
SEC Charges Andrew Komarow with “Free-Riding” Fraud Scheme The White Law Group continues to investigate potential securities...
Wells Fargo Broker Joe David Gainer Jr. Barred by FINRA
Joe David Gainer Jr. Allegedly Accepted $3 Million Gift from Client According to the Financial Industry Regulatory Authority (FINRA), Joe...
