Posts tagged ‘Dax White’
Investigation Into Washington Mutual Bonds Sold by Securities America
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 inappropriate in light of the investor’s age, investment experience, and net worth.
The financial advisor that solicited the investment in the Washington Mutual bond in the case that we are investigating was Securities America financial advisor Paula Dorian-Gray.
If you have any information that may assist us in our investigation on behalf of this investor, please contact our Chicago office at 312-238-9650.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. With over 30 years of securities law experience, including experience working at FINRA (f/k/a the NASD) and the SEC, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions. For more information on The White Law Group, please visit our website at http://www.whitesecuritieslaw.com.
Lincoln, Nebraska Securities Fraud / Broker Fraud Attorney
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. Our firm is dedicated to helping investors in claims against their financial professional or brokerage firm.
Our firm is able to help investors who have been the victim of investment fraud throughout Nebraska, including Lincoln, Omaha, Bellevue, Grand Island, Council Bluffs, Norfolk, Hastings, and North Platte and more. The White Law Group can guide damaged investors through the securities arbitration process, from evaluating potential cases, filing with FINRA dispute resolution (or other relevant organization like the AAA, NYSE or NFA), and finally mediation or arbitration.
The firm has offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits of being located so close to the FINRA Dispute Resolutions offices in those cities (FINRA’s Southeast headquarters is located at Boca Center Tower 1, 5200 Town Center Circle, Boca Raton, FL 33486- less than one mile from our office, and FINRA’s Midwest headquarters is located at 55 West Monroe Street, Suite 2600, Chicago, IL 60603-1002- close to the firm’s Chicago office).
Having our offices located so close to FINRA’s regional headquarters has its advantages, particularly since all cases filed in the southeast portion of the United States are administered out of FINRA’s Boca Raton, Florida Dispute Resolution office, and all cases in the Midwest portion of the United States are administered out of FINRA’s Chicago, Illinois Dispute Resolution office.
Although located in Chicago, Illinois and Boca Raton, Florida, The White Law Group handles securities fraud cases throughout the country and Nebraska, including reviewing securities fraud cases in Lincoln, Omaha, Bellevue, Grand Island, Council Bluffs, Norfolk, Hastings, and North Platte.
The White Law Group has the experience to help investors defrauded in securities, investment and financial business transactions. To contact The White Law Group, please call 312-238-9650 or 561-807-6804.
Or, for more information about The White Law Group or securities fraud and how we can help you in Omaha and throughout Nebraska, you can also visit our website at http://www.whitesecuritieslaw.com.
Jackson, Mississippi Securities Fraud / Broker Fraud Attorney
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm.
The White Law Group has its offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits of being located so close to the FINRA Dispute Resolutions offices in those cities (FINRA’s Southeast headquarters is located at Boca Center Tower 1, 5200 Town Center Circle, Boca Raton, FL 33486- less than one mile from our office, and FINRA’s Midwest headquarters is located at 55 West Monroe Street, Suite 2600, Chicago, IL 60603-1002- close to the firm’s Chicago office).
Having our offices located so close to FINRA’s regional headquarters has its advantages, particularly since all cases filed in the southeast portion of the United States are administered out of FINRA’s Boca Raton, Florida Dispute Resolution office, and all cases in the Midwest portion of the United States are administered out of FINRA’s Chicago, Illinois Dispute Resolution office.
Although located in Chicago, Illinois and Boca Raton, Florida, The White Law Group handles securities fraud cases throughout the country and Mississippi, including reviewing securities fraud cases in Jackson, Oxford, Hattiesburg, Meridian, Brookhaven, and Biloxi. With over 30 years of securities law experience, including experience working at FINRA (f/k/a the NASD) and the SEC, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions.
To contact The White Law Group, please call 312-238-9650. Or, for more information about The White Law Group or securities fraud, you can also visit our website at http://www.whitesecuritieslaw.com.
James Cordell Wisdom III, formerly of Natcity Investments, Inc., barred from securities industry.
FINRA recently announced that James Cordell Wisdom III, formerly a financial advisor with Natcity Investments, Inc. in Norwood, Ohio, has been barred association with any FINRA member in any capacity. Without admitting or denying the findings, Wisdom consented to the described sanction and to the entry of findings that he executed an unauthorized sale of shares of a mutual fund in a customer’s account without the customer’s knowledge or authorization. The findings also stated that Wisdom wired the sale proceeds from the customer’s account into a bank account he established in the customer’s name without the customer’s knowledge or authorization. Finally, the findings stated that when Wisdom established the account, he listed himself as the signatory on the account and subsequently withdrew $2,800 from the bank account and used it for personal use.
According to his FINRA Broker Report (CRD), it appears that prior to working as a financial advisor with Natcity Investments, Wisdom was a registered-representative with Merrill Lynch in Cincinnati, Ohio.
If you have questions regarding investments you made with James Cordell Wisdon, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. The White Law Group is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. The firm has over 30 years of experience reviewing securities fraud claims and handles matters throughout the country and Ohio, including reviewing securities fraud cases in Norwood, Cincinnati, Covington, Hamilton, Middletown, and White Oak. To contact the firm, please call 312-238-9650. Or, for more information on The White Law Group, please visit our website at http://www.whitesecuritieslaw.com.
Christopher William Shanahan, a former financial advisor in Westlake, Ohio, barred from securities industry.
FINRA recently announced that Christopher William Shanahan, a former financial advisor in Westlake, Ohio, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Shanahan consented to the described sanction and to the entry of findings that he misappropriated more than $30,000 from his member firm.
According to his FINRA Broker Report (CRD), Christopher William Shanahan was previously a registered representative with Sentinel Financial Services Company, a registered broker-dealer based in Montpelier, Vermont, American Century Investment Services, a registered broker-dealer based in Kansas City, Missouri, and Putnam Retail Management, a registered broker-dealer based in Boston, Massachusetts.
If you have questions regarding investments you made with Christopher William Shanahan, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. The White Law Group is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. The firm has over 30 years of experience reviewing securities fraud claims and handles matters throughout the country and Ohio, including reviewing securities fraud cases in Westlake, Cleveland, Shaker Heights, Toledo, Akron, and Sandusky. To contact the firm, please call 312-238-9650. Or, for more information on The White Law Group, please visit our website at http://www.whitesecuritieslaw.com.