Tag: Osaic
Juan Carlos Sosa Barred by FINRA
Juan Carlos Sosa Allegedly Converted Customer’s Funds According to a letter of acceptance on March 19, 2024, the Financial Industry...
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...
Securities America Inc.: Regulatory Overview
The White Law Group reviews the regulatory history of Securities America Inc. Securities America Inc., a subsidiary of Advisor...
Royal Alliance Associates: Regulatory Overview
The White Law Group reviews the regulatory history of Royal Alliance Associates. Royal Alliance Associates, an advisory firm based in...
FSC Securities Corp. Overview
The White Law Group reviews the regulatory history of FSC Securities Corp. ...
Osaic Wealth: Regulatory Overview
The White Law Group reviews the regulatory history of Osaic Wealth. Osaic Wealth (CRD#: 23131/SEC#: 801-54859,8-40218), based in Jersey...
