The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with over thirty years securities law experience, including experience at FINRA (f/k/a the NASD) and the SEC. The firm has offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits of being located [...]
FINRA recently announced that Richard Albert Seefried, a financial advisor in Spokane, Washington currently registered with GVC Capital, LLC, has been suspended from association with any FINRA member in any capacity for three months. The suspension is effective from April 19, 2010 through July 18, 2010. Without admitting or denying the allegations, Seefried consented to [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. 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 [...]
FINRA recently announced that Gerald Jamieson Kesner, formerly of Raymond James Financial Services in Lakewood, Colorado, has been barred from association with any FINRA member in any capacity. According to the FINRA announcement, the NAC imposed the sanction following appeal of an OHO decision. The sanction was based on findings that Kesner failed to disclose [...]
FINRA recently announced that Michael Anthony Gist, formerly a financial advisor with Ameritas Investment Corp. in Highlands Ranch, Colorado , has been fined $15,000, ordered to pay $231,877.43, plus interest, in restitution to a customer and suspended from association with any FINRA member in any capacity for two years. Without admitting or denying the allegations, [...]
FINRA recently announced that Bornhoft Group Securities Corporation, a broker-dealer based in Denver, Colorado, has been censured and fined $100,000 by FINRA. Without admitting or denying the findings, Bornhoft Group Securities Corporation consented to the described sanctions and to the entry of findings that, in connection with public offerings of a multi-advisor commodity pool fund, [...]
FINRA recently announced that Steven Dale Fowler, formerly of American Family Securities, LLC in Parker, Colorado, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Fowler consented to findings that he misused insurance customers’ funds totaling approximately $44,000 that were provided to him to cover the [...]