• How to Find out if your Financial Advisor has a Fraud Record

    Broker Misconduct

    January 23, 2017 Comments (0) Blog, Securities Fraud

      According to reports, more than half of all households use a financial planner. Unfortunately broker misconduct is prevalent. How can you tell if your broker has a fraud record? Broker Misconduct Close to 7 percent of advisors have been disciplined for a fraud dispute or some form of misconduct, according to a

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  • Hugh W. Levey Barred from Securities Industry

    January 20, 2017 Comments (0) Blog, Current Investigations

    According to FINRA, Hugh W. Levey (CRD#: 1472230) has been permanently barred from the securities industry. Without admitting or denying the findings, Levey consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony as requested by FINRA in connection with an

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  • Syndicated Conservation Easements Investigation

    January 20, 2017 Comments (0) Blog

       The White Law Group is investigating potential claims against broker-dealer’s selling tax shelter land deals to unsuspecting investors. Syndicated conservation easements are private placements that promise tax deductions worth four to four-and-a-half times a person’s investment. Now the IRS is

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  • Henry Dean Watson Barred from Securities Industry

    January 18, 2017 Comments (0) Current Investigations

    According to FINRA, Henry Dean Watson (CRD#: 1326969) has been permanently barred from the securities industry. On December 14, 2016, FINRA staff sent a request to Watson for on-the-record testimony in connection with an inquiry into an arbitration claim filed by a customer against Watson. Watson acknowledges that he

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  • What is a Mini-Tender Offer?

    January 18, 2017 Comments (0) Blog

    A mini–tender offer is an offer to acquire a company’s shares directly from current investors in an amount less than 5% of issued stock. Investors who surrender their shares in a mini-tender offer without fully investigating the offer may be shocked to learn that they cannot change their minds and

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  • Memorial Production Partners LP Files for Chapter 11

    January 17, 2017 Comments (0) Current Investigations

    Are you concerned about losses investing in Memorial Production Partners LP?   If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage firm that recommended the investment. According to their website, Memorial Production

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  • C-Tracks Citi Volatility Index TR ETN Investment Losses

    January 17, 2017 Comments (0) Current Investigations

    Have you suffered losses investing in C-Tracks Citi Volatility Index TR ETN? If so, The White Law Group may be able to help you recovery your losses by filing a FINRA arbitration claim against the brokerage firm that sold you the investment. According to RCM Investments website, C-Tracks Citi Volatility Index TR ETN

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  • Are Non-Traded REITs a safe bet?

    January 16, 2017 Comments (0) Blog

    This information comes from a recent Investor Alert from the Financial Industry Regulatory Authority. Investors often seek products offering more attractive yields during extended periods of low interest rates. An example is the publicly registered non-exchange traded real estate investment trust (REIT) also known as

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  • Risks that Ruin your Retirement

    January 16, 2017 Comments (0) Blog

    When you are considering retirement, there are many risk factors that come to mind.  At this point, everyone is all too familiar with stock market risk. But what are the other risks? The following three risks could potentially ruin your retirement: unexpected health-care needs, possibility of portfolio failure, and

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  • American Realty Capital Hospitality Trust REIT Investment Losses

    January 16, 2017 Comments (0) Blog

      Are you concerned about your investment losses in American Realty Capital Hospitality Trust? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. The White Law Group is investigating potential

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