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 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 [...]
According to a recent FINRA announcement, Eric Evan Everson, formerly of Brokers International Financial Services, LLC in Gravois Mills, Missouri, has been fined $5,000 and suspended from associating with any FINRA member firm for 10 business days. The sanctions were based on findings that Everson recommended a variable annuity to a firm customer and recommended [...]