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Tag: unsuitable investments

Blog, Broker Investigations, FINRA SEC Sanctions

David Geake Barred by Securities Regulator  

FINRA Bars Advisor David Geake after 25 Complaints   The Financial Industry Regulatory Authority (FINRA), the broker-dealer...

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Blog, Broker Investigations, FINRA SEC Sanctions

 FINRA Suspends and Fines Broker John Hoidas after 10 Customer Complaints

Broker John Hoidas Suspended after 10 Customer Complaints The Financial Industry Regulatory Authority (FINRA) has reportedly suspended...

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Blog, Broker Investigations, Current Investigations

Jermaine Benjamin Barred by Securities Regulator 

Jermaine Benjamin, Pruco Securities, Allegedly Misappropriated Funds  On June 7, 2023, the Financial Industry Regulatory Authority (FINRA)...

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Blog, Broker Investigations, Current Investigations

Jeffrey Cohen, Moloney Securities, Barred from FINRA 

Broker Investigation: Jeffrey Cohen of Moloney Securities  On June 5, 2023, the Financial Industry Regulatory Authority (FINRA) reportedly...

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Blog, Current Investigations

Dennis Haywood II Allegedly made Unsuitable Investments  

Dennis Haywood Ex-Crown Capital Broker Reportedly has 10 Customer Complaints   According to his FINRA BrokerCheck report, former broker...

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Securities Fraud Articles

LPL Financial Overview 

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

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