Tag: FINRA
Robert Gerstein, Merrill Lynch Broker, Suspended by Regulator
FINRA Suspends Merrill Lynch Broker Robert Gerstein for Allegations of Unsuitable Trading According to reports this week, FINRA has fined...
Lynn Bryant Barred by Securities Regulator
FINRA Bars LPL Broker Lynn Bryant after Allegations of Private Securities Transactions FINRA, the regulator who oversees broker and...
Geneos Wealth Management Overview
The White Law Group reviews the regulatory history of Geneos Wealth Management. The following is a brief breakdown of publicly...
Gain Elimination Plan (GEP) Fraud Scheme
Investigation of Fraudulent Tax Shelter – Gain Elimination Plan (GEP) The White Law Group is investigating potential claims...
Solicited Trades versus Unsolicited Trades
Why does it Matter if your Trades are Solicited in a FINRA Claim? The White Law Group represents investors in claims against their...
FFEC Wealth Partners Allegedly Failed to Supervise Margin use
FINRA Sanctions FFEC Wealth Partners for Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA), the...
