Investors have reportedly disputed the sales practices of securities broker Stephen Edward White (also known as Steve White) [CRD: 3052632, Los Angeles, California], based on disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. White worked for UBS Financial Services Inc. from September 19, 2008, to November 2, 2021, before joining Rockefeller Financial LLC on October 8, 2021. Keep reading to find out more about disclosures involving White.
Particularly, on December 10, 2025, a UBS Financial Services Inc. and Rockefeller Financial LLC client filed a complaint about Stephen White. Mainly, the client alleged that White made misrepresentations and failed to act in the client’s best interest. Because of this, the client allegedly experienced damages. Therefore, the client requested compensation from UBS Financial Services Inc., Rockefeller Financial LLC, or White. The complaint remains pending.
A breach of fiduciary duty allegation generally means a securities broker or financial advisor allegedly failed to act in a client’s best interest. These allegations can involve conflicts of interest, unsuitable investment recommendations, or conduct that allegedly placed the broker’s interests ahead of the client’s financial goals. Investors who believe a broker or advisor violated these obligations may pursue claims through arbitration, litigation, or regulatory complaints.
Do you need clarity on any investment losses relating to Stephen White? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for individuals throughout the country. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. White and brokerage firms White worked for deny allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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