FINRA recently announced that Jennifer Evelyn Cheeseman, a former financial advisor with NY Life Securities in Stapleton, Alabama, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cheeseman consented to the described sanctions and to findings that she altered term life insurance policies in order to [...]
In proceedings filed by the Securities and Exchange Commission and the Financial Industry Regulatory Authority, known as FINRA (f/k/a the NASD), Morgan Keegan was accused of misleading brokers and customers through marketing materials that did not disclose the risks being taken by a group of funds sold only to Morgan Keegan clients. In addition, the [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with over thirty years securities law experience, including experience at FINRA (f/k/a the NASD) and the SEC. The firm has offices in Chicago, Illinois and Boca Raton, Florida. The White Law Group has its offices in [...]