According to the Business Record, DeWaay Financial Network LLC of Clive and three other Iowa investment brokers are among 49 firms that have been sued in connection with the bankruptcy of a company accused of running a $485 million Ponzi scheme involving allegedly bogus oil and gas investments. Provident Royalties LLC, based in Dallas, filed [...]
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 because of the obvious benefits of being located [...]
FINRA recently announced that Dana Reece Anderson, formerly of Intersecurities, Inc. in Waterloo, Iowa, has been censured and barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Dana Anderson consented to entry of findings that he forged a customer’s signature and initials to his firm’s documents (Intersecurities) to [...]