Matthew Leon White was barred from association with any FINRA member

Matthew Leon White (CRD #5365185, Little Rock, Arizona)

“November 21, 2019 – An AWC was issued in which White was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, White consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into the circumstances surrounding his termination from his member firm. The findings stated that the firm filed a Form U5 disclosing that it had discharged White for failing to adequately disclose outside activities including his relationship to company business. (FINRA Case #2018058815501)”

The information above was obtained via FINRA’s website. It is for informational purposes only and is not legal advice. It is provided only as general information which may or may not reflect the most recent developments. Check FINRA’s website for the most current information.

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Financial Industry Regulatory Authority, Inc. (FINRA) is an independent, non-governmental regulator who oversees the people and firms that sell stocks, bonds, mutual funds and other securities to the public in the United States. They are authorized by Congress to protect investors. They do this by making sure the securities industry operates fairly and honestly with the public.