Securities as defined by Wisconsin law, include stocks, bonds, promissory notes and other evidences of indebtedness; shares in mutual funds; stock options; limited partnership interests; interests in oil and gas, mining, or real estate ventures or leases; certificates of deposit; some commodity contracts; and “investment contracts” (a catch-all term for certain kinds of unusual investment [...]
The White Law Group reviews securities fraud cases throughout the country, including reviewing securities fraud cases involving all of the FINRA registered broker-dealers. Wedbush Securities is a FINRA registered broker-dealer founded in 1955. It is primarily a West Coast firm, with headquarters in Los Angeles, California. According to the firm’s FINRA Broker Report (CRD), Wedbush [...]
FINRA recently published statistics on the securities cases that it administers through its FINRA Dispute Resolution process. The statistics reveal that case filings are slightly down from 2009, and that the administration time for cases is slightly longer than in 2009. The statistics are also broken down to show the number of cases filed for [...]
The White Law Group is investigating the sales practices of Securities America with respect to Washington Mutual Bonds. The firm is currently representing an investor that was sold Washington Mutual bonds after it was apparent that Washington Mutual was in financial trouble. The recommendation to purchase the Washington Mutual bonds, made by Securities America, was [...]
FMSBonds, Inc. is a FINRA registered broker-dealer based in Boca Raton, Florida. FMSBonds touts itself as a tax-free municipal bond firm that provides bond buyers with exceptional value and insight in the tax-free bond market. The firm has offices from North Miami Beach, Florida to Boca Raton, Florida. Although FMSBonds, Inc. represents itself as “municipal [...]