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Staff Attorney
Oct 11, 20181 min read
Former Broker Robert White Suspended for Accepting Gifts from Customer
Robert Edward White (White) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
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Staff Attorney
Sep 28, 20182 min read
Financial Advisor Taek Man Chong Barred for Failing to Cooperate with FINRA Investigation
Former Raymond James financial advisor, Taek Man Chong (Chong), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
Dec 19, 20172 min read
Former Raymond James Broker Robert Scherzer Disciplined for Private Securities Transactions
Robert Jeffrey Scherzer (Scherzer), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
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Staff Attorney
Jan 4, 20172 min read
Former Raymond James Broker Richard Sampley Disciplined for Recommendations in Renewable Energy Comp
In October 2016, Richard Sampley (Sampley), a registered representative, settled a complaint with the Financial Industry Regulatory...
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