September, 2019
Archive

Craig L. Siegel Broker Investigation, featured by top securities fraud attorneys, The White Law Group September 25, 2019

Craig L. Siegel Broker Investigation

Financial Advisor Craig L. Siegel, Portfolio Advisors Alliance in New York, NY Are

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Western International Securities Censured & Fined $75,000, featured by top securities fraud attorneys, The White Law Group September 24, 2019

Western International Securities Censured & Fined $75,000

FINRA Sanctions Western International Securities, Pasadena, CA According to

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Michael J. Rappa Broker Investigation, featured by top securities fraud attorneys, The White Law Group September 24, 2019

Michael J. Rappa Broker Investigation

Financial Advisor Michael J. Rappa, Foresters Equity Services in San Diego, CA Are

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Sigma Planning Corp. to pay $2.5 Million, featured by top securities fraud attorneys, the White Law Group September 23, 2019

Sigma Planning Corp. to pay $2.5 Million

Michigan RIA, Sigma Planning, reportedly sanctioned for mutual fund conflicts Sigma

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Aegis Capital Corp. Censured & Fined $93,125, featured by top securities fraud attorneys, The White Law Group September 23, 2019

Aegis Capital Corp. Censured & Fined $93,125

FINRA Sanctions Aegis Capital Corp., New York, NY According to FINRA’s September

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Kevin P. Smith Broker Investigation, featured by top securities fraud attorneys, The White Law Group September 22, 2019

Kevin P. Smith Broker Investigation

Financial Advisor Kevin P. Smith, Morgan Stanley in Minneapolis, MN Are you

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Lance Ziesemer Broker Investigation, featured by top securities fraud attorneys, the White Law Group September 20, 2019

Lance Ziesemer Broker Investigation

Financial Advisor Lance Ziesemer, Feltl & Co. in Wayzata, MN Are you concerned

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Planmember Securities Corp. Censured & Fined $90,000, featured by top securities fraud attorneys, The White Law Group September 20, 2019

Planmember Securities Corp. Censured & Fined $90,000

FINRA Sanctions Planmember Securities Corp., Carpinteria, CA According to FINRA’s

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Robert A. Kahn (Rob Kahn) Broker Investigation, featured by Top Securities Fraud Attorneys, The White Law Group September 20, 2019

Robert A. Kahn (Rob Kahn) Broker Investigation

Financial Advisor Robert A. Kahn, Edward Jones in Creve Coeur, MO Are you concerned

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Mark A. Trewitt Broker Investigation. featured by top securities fraud attorneys, The White Law Group September 20, 2019

Mark A. Trewitt Broker Investigation

Financial Advisor Mark A. Trewitt, VFG Securities in Plano, Texas Are you concerned

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