logo_web_wht
(888) 637-5510

Tag: SEC charges

Blog, FINRA SEC Sanctions

Stifel Nicolaus & Co. Regulatory Overview

The White Law Group reviews the regulatory history of Stifel Nicolaus & Co.   Stifel Nicolaus & Co Inc. (CRD # 793), a...

Read More

Broker Investigations, FINRA SEC Sanctions

Jesus Rodriguez Charged with Defrauding Advisory Clients 

 Ex-Morgan Stanley Advisor Allegedly Defrauded 10 Clients of $3.45 Million  The Securities and Exchange Commission (SEC) has reportedly...

Read More

Broker Investigations, FINRA SEC Sanctions

Douglas McKelvey Settles Fraud Charges 

Douglas McKelvey Allegedly Stole $1.7 Million from Elderly Customers  A settlement was reportedly reached on January 24, 2024, in the case...

Read More

Broker Investigations

Clarice Saw Charged with Defrauding Elderly Client  

New York Advisor Clarice Saw Charged with Defrauding Elderly Client of $2.4 Million According to reports this week, the SEC charged...

Read More

Blog, FINRA SEC Sanctions, Securities Fraud Articles

Wells Fargo Clearing Services Regulatory Overview

The White Law Group reviews the regulatory history of Wells Fargo Clearing Services, LLC.    Wells Fargo Clearing Services LLC,...

Read More

FINRA SEC Sanctions, Securities Fraud Articles

Hightower Securities LLC Overview  

The White Law Group reviews the regulatory history of Hightower Securities LLC.    Hightower Securities LLC...

Read More