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August 15, 2018
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Blog, Current Investigations, Securities Fraud
SEC Charges Ameriprise Financial with Failure to Safeguard Client Assets According to a press announcement today, Ameriprise Financial Services Inc. will pay $4.5 million to settle SEC charges that it failed to safeguard retail investor assets from theft by its representatives. According to the SEC’s order, five
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August 14, 2018
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Blog, Current Investigations, Securities Fraud
Tender Offer – Northstar Healthcare Income Inc. – $3.39/Share Are you concerned about your Northstar Healthcare Income Inc. losses? If so, the securities attorneys at 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
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August 14, 2018
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Blog, Current Investigations, Securities Fraud
Christopher Lee Hibbard – Chris Hibbard – Merrill Lynch – Louisville, KY According to Louisville Business First, former Merrill Lynch advisor Christopher Lee Hibbard was fired after the firm concluded he’d allegedly stolen money from clients. Hibbard is reportedly now facing more allegations of theft.
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August 10, 2018
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Blog, Current Investigations, Securities Fraud
Securities Fraud Investigation – John C. Maccoll – UBS Financial Services According to a press announcement yesterday, the Securities and Exchange Commission has charged former financial advisor John C. Maccoll with defrauding his brokerage customers out of nearly $4 million in a long-running investment scheme.
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August 1, 2018
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Blog, Current Investigations, Securities Fraud
Mark Kaplan – Vanderbilt Securities – Alleged Churning and Unsuitable, Excessive Trades According to the Financial Industry Regulatory Authority (FINRA) on July 26, the regulator has censured and fined Vanderbilt Securities (CRD # 5953), $100,000 for failure to supervise a registered representative. According to
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July 26, 2018
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Blog, Securities Fraud
National Planning Corp., Investment Centers of America, SSII Investments, INVEST Financial Censured & Fined According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has sanctioned four National Planning firms for failure to establish, maintain and enforce a supervisory system in
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July 23, 2018
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Blog, Current Investigations, Securities Fraud
Wells Fargo Advisors to Pay $8.6M, UBS Pays $4.3M Have you suffered losses investing in Puerto Rico bonds at the recommendation of your financial advisor? If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA Arbitration claim against the brokerage firm
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July 20, 2018
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Blog, Securities Fraud
Infinex Investments Inc. Sanctioned for improperly Selling REITs & VAs to Seniors According to reports, Secretary of the Commonwealth William Galvin, of the Massachusetts Securities Division, has fined broker-dealer Infinex Investments Inc. for failing to supervise agents who were selling non-traded real estate
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July 20, 2018
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Blog, Securities Fraud
Claim Alleges Advisor Andrew Corbman made Unsuitable Investment Recommendations The White Law Group announced this week that it has filed a FINRA Statement of Claim requesting damages for alleged violation of common law fraud, breach of fiduciary duty, negligence, and negligent supervision against Kovack Securities.
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July 20, 2018
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Blog, Current Investigations, Securities Fraud
Kimberly Kitts – Former Royal Alliance Broker – Cape Cod Have you suffered losses investing with Kimberly Kitts and Royal Alliance Associates? If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA Arbitration Claim. According to a press announcement
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