Tag: SEC charges
Hudson Valley Wealth Fined for Conflicts of Interest
SEC Charges Hudson Valley Wealth Management and Founder for Breach of Fiduciary Duty On May 14, 2024, The Securities and Exchange...
Stifel Nicolaus & Co. Regulatory Overview
The White Law Group reviews the regulatory history of Stifel Nicolaus & Co. Stifel Nicolaus & Co Inc. (CRD # 793), a...
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...
Douglas McKelvey Settles Fraud Charges
Douglas McKelvey Allegedly Stole $1.7 Million from Elderly Customers A settlement was reportedly reached on January 24, 2024, in the case...
Clarice Saw Charged with Defrauding Elderly Client
New York Advisor Clarice Saw Charged with Defrauding Elderly Client of $2.4 Million According to reports this week, the SEC charged...
Wells Fargo Clearing Services Regulatory Overview
The White Law Group reviews the regulatory history of Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services LLC,...
