Providence, Rhode Island
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In FINRA Case 14-0755, a customer alleges damages of $470,000 and that funds were placed in investments that were not suitable given investment objectives, risk tolerance and other factors. Claimant also alleges that supervisors at the firm failed to properly supervise the representative’s activities.
In FINRA Case 15-01682 a customer seeks an unspecified amount of damages and alleges that the firm misrepresented the position, supervision and qualification of their registered representative (Mr. White and the small-cap stocks sold to them in or around January 2013.)
White has been registered with Barrett & Company since 5/1992.
If you have questions about a brokerage account handled by Charles E. White , call to discuss your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900