-
April 16, 2018
Comments (0)
Blog, Current Investigations, Securities Fraud
Steven Pagartanis –Cadaret, Grant & Co. According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred New York Financial Advisor Steven Pagartanis from the securities industry for allegedly failing to appear for on-the-record testimony on April 10, 2018. The request to provide
Read More »
-
March 16, 2018
Comments (0)
Blog, Current Investigations
Stephen J. Woods – Securities Investigation The White Law Group is investigating potential claims involving New York broker Stephen J. Woods and the liability his employers may have for failure to properly supervise him. According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred
Read More »
-
October 5, 2017
Comments (0)
Securities Fraud
Alexander Capital LP Named in the Complaint According to a press announcement on September 28, 2017, the Securities and Exchange Commission charged three New York-based brokers with making unsuitable recommendations in order to earn large commissions. The recommendations reportedly resulted in substantial losses to
Read More »
-
October 1, 2012
Comments (0)
Blog, Securities Fraud
RBC Capital Markets Corporation nka RBC Capital Markets, LLC (CRD #31194, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $200,000, and ordered to pay $70,000 in partial restitution to a customer. Without admitting or denying the findings, the
Read More »
