RedFlag, Allegation and/or Complaint against Charles Bruce White
Disclosure #1 for Charles White
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- Event Date: 3/27/2019
- Disclosure Type: Regulatory
- Resolution: Final
- Initiated By: State of OK Dept of Securities
- Allegations: Failed to timely disclose in Form U4 that I filed for bankruptcy in April 2012. Form U4 was not updated to reflect this until November 19, 2018.
- Resolution: agreement signed & penalty paid |Sanctions: Civil and Administrative Penalty(ies)/Fine(s) |Amount: $500.00
Should I file a FINRA complaint against brokers like Charles Bruce White?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Frequently Asked Questions About Charles Bruce White
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Originally reported on November 17, 2022 @ 8:46 pm
