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Blog, Broker Investigations

Advisor Dusty Sternadel Allegedly Misappropriated Client Funds  

Dusty Sternadel of Amerprise to be Sentenced for Fraud Scheme A former Ameriprise Financial advisor in Wichita Falls, Texas, Dusty...

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Blog, FINRA SEC Sanctions, Securities Fraud Articles

Arete Wealth Management Complaints and Regulatory Actions  

The White Law Group reviews the regulatory history of Arete Wealth Management.    Arete Wealth Management, based in Chicago,...

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Securities Fraud Articles

Citigroup Global: FINRA Claim Alleges Unsuitable Investments 

The White Law Group Files a Claim against Citigroup Global Markets  The White Law Group announces the filing of a FINRA arbitration claim...

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Broker Investigations, FINRA SEC Sanctions

John Engler Sr. Barred by FINRA 

John Engler Sr. Allegedly Misappropriated Customer’s Funds  According to a letter of acceptance on April1, 2024, the Financial Industry...

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Blog, Current Investigations

William King, Merrill Lynch Broker has 29 Customer Complaints  

Concerned about investment losses with Merrill Broker William King in Vero Beach, Florida?  The White Law Group is currently representing...

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Broker Investigations, FINRA SEC Sanctions

Juan Carlos Sosa Barred by FINRA 

Juan Carlos Sosa Allegedly Converted Customer’s Funds According to a letter of acceptance on March 19, 2024, the Financial Industry...

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