FINRA recently announced that it has suspended North Miami Beach, Florida financial advisor Stephen Alan Jaffe from association with any FINRA member in any capacity for one month. Without admitting or denying the findings, Jaffe consented to the described sanction and to the entry of findings that he was the broker of record for a [...]
The White Law Group is investigating the trading practices of Morgan Stanley Smith Barney financial advisor David Sheinheit. Specifically, we are investigating whether Mr. Sheinheit inappropriately invested a retired investor’s retirement assets and/ or failed to implement a hedging strategy discussed by Mr. Sheinheit and the investor. According to his FINRA Broker Report, Mr. Sheinheit [...]
FINRA recently announced that Maria Duarte Pumariega, a financial advisor formerly registered with Wachovia Securities in Miami, Florida, has been barred from association with any FINRA brokerage firm in any capacity. The sanction was based on findings that Pumariega, without permission or authority, converted approximately $140,000 in customer funds for her own purposes. In addition [...]