Tag: FINRA complaint
Luke Michael Johnson Suspended by FINRA
Broker Luke Michael Johnson of Coastal Equities (now known as Realta Equities) Sanctioned for Unsuitable Investments The White Law Group...
How to File a Complaint against your Broker
If you have a Dispute with your Broker Whether you realized it at the time or not, when you established your brokerage account, you likely...
Eugene Kim Allegedly Defrauded Investors
FINRA Accuses Eugene Kim (Gene Kim) of Broker Misconduct involving Private Placement Investment The Financial Industry Regulatory...
FINRA Investigates Long Island firm David Lerner & Associates
According to the New York Post, in May 2010, FINRA accused Long Island brokerage firm David Lerner Associates and its head trader, William...
Penson Financial Services and Pinnacle Capital Markets fined by FINRA.
In February 2010, the Financial Industry Regulatory Authority (FINRA) announced that it had fined Penson Financial Services, a Dallas-based...
