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Tag: unsuitable investments

Jeffrey Cohen, Moloney Securities, Barred from FINRA, featured by top securities fraud attorneys, the White Law Group

Blog, Broker Investigations, Current Investigations

June 6, 2023

Jeffrey Cohen, Moloney Securities, Barred from FINRA

Broker Investigation: Jeffrey Cohen of Moloney Securities On June 5, 2023, the Financial Industry Regulatory Authority (FINRA) reportedly...

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Dennis Haywood II Allegedly made Unsuitable Investments featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

May 26, 2023

Dennis Haywood II Allegedly made Unsuitable Investments

Dennis Haywood Ex-Crown Capital Broker Reportedly has 10 Customer Complaints According to his FINRA BrokerCheck report, former broker...

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Berthel, Fisher & Company Complaints and Regulatory Actions featured by top securities fraud attorneys, the White Law Group

Blog, FINRA SEC Sanctions, Securities Fraud Articles

April 6, 2023

Berthel, Fisher and Co.: Complaints and Regulatory Actions

The White Law Group reviews the regulatory history of Berthel, Fisher and Company Financial Services. The following is a review of...

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FINRA Sanctions Fortune Financial for VA Sales, featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud Articles

February 13, 2023

FINRA Sanctions Fortune Financial for VA Sales

Fortune Financial Allegedly Unsuitably Recommended Variable Annuities According to a Letter of Acceptance Waiver and Consent on...

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Paulson Investment Co. Sanctioned for Unsuitable Investments, featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

January 24, 2023

Paulson Investment Co. Sanctioned for Unsuitable Investments

FINRA Censures and Fines Paulson for Variable Interest Rate Structured Products Sales Paulson Investment Company, LLC, a FINRA-registered...

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Coastal Equities, Inc. to return $280,000 to Clients, featured by top securities fraud attorneys, The White Law Group

FINRA SEC Sanctions

November 11, 2020

Coastal Equities, Inc. to return $280,000 to Clients

FINRA Sanctions Coastal Equities for Allegations of Failure to Supervise Unsuitable Investments According to a Letter of Acceptance Waiver...

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