Staff AttorneyOct 11, 20181 min readFormer Broker Robert White Suspended for Accepting Gifts from CustomerRobert Edward White (White) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
Staff AttorneySep 28, 20182 min readFinancial Advisor Taek Man Chong Barred for Failing to Cooperate with FINRA InvestigationFormer Raymond James financial advisor, Taek Man Chong (Chong), recently settled allegations with the Financial Industry Regulatory...
Staff AttorneyDec 19, 20172 min readFormer Raymond James Broker Robert Scherzer Disciplined for Private Securities TransactionsRobert Jeffrey Scherzer (Scherzer), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
Staff AttorneyJan 4, 20172 min readFormer Raymond James Broker Richard Sampley Disciplined for Recommendations in Renewable Energy CompIn October 2016, Richard Sampley (Sampley), a registered representative, settled a complaint with the Financial Industry Regulatory...