The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm. The White Law Group has its offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits of being located so close to the FINRA Dispute Resolutions offices in those cities (FINRA’s Southeast headquarters [...]
FINRA recently announced that Robyn Lynn O’Hara, formerly of WFG Investments, Inc. in Snellville, George, has been barred from FINRA for securities violations. Without admitting or denying the findings, O’Hara consented to the findings that she engaged in multiple trades in customers’ accounts at her member firms without the customers’ authorization and consent. The findings [...]
FINRA recently announced that Roger Lee Hilpp, formerly of Wells Fargo Advisors, LLC in LaGrange, Illinois, has been fined $5,000 and suspended from association with any FINRA member firm in any capacity for 10 business days. Without admitting or denying FINRA’s findings, Hilpp consented to findings that he used time and price discretion to effect [...]