Sherman Marcel White, of Park Forest, Illinois, a stockbroker formerly registered with U.S. Bancorp Investments, Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that White did not provide a response to FINRA personnel’s information request as required. Letter No. 2016051595401 (Feb. 27, 2017).
FINRA Public Disclosure additionally reveals that on November 9, 2016, a customer initiated investment related written complaint involving White’s conduct was settled for $37,087.63 in damages based upon allegations that White made misrepresentations and omissions to the customer concerning equity-linked certificate of deposit investments.
White’s registration with U.S. Bancorp Investments, Inc. was terminated on September 21, 2015. From October 19, 2015, to August 11, 2016, he was associated with Wayne Hummer Investments L.L.C.
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