Month: December 2011
Wells Fargo Fined $2 Million by FINRA
The Financial Industry Regulatory Authority (FINRA) has announced that it has levied a $2 million fine on Wells Fargo Investments, LLC....
Leveraged and Inverse ETF Investment Losses
According to the North American Securities Administrators Association (NASAA) “Exchange–traded funds (ETFs) have grown increasingly...
SEC sues SIPC over Stanford Investment Fraud Victim Coverage
The White Law Group is closely monitoring the ability for investment fraud victims of R. Allen Stanford and Stanford Group Co.’s alleged...
Recovery of Van Zandt Agency Investment Losses through FINRA Arbitration
Have you suffered investment losses due to the purchase of promissory notes through the Van Zandt Agency from Robert Henry Van Zandt? If...
SIPC at Odds with SEC over Stanford Ponzi Scheme Victim Compensation
In a recent blog post...
Investors Encouraged to Research Financial Advisers
The USA Today recently ran a story in which they gave some tips on diligently selecting a financial advisor and encouraged investors to...
