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 [...]
The White Law Group is investigating possible securities fraud claims involving the Oppenheimer Champion Income Fund (OCHBX, OPCHX and OCHCX) and the Oppenheimer Core Bond Fund (OPIGX). Although marketed to investors as conservative investments, the Champion Fund and Core Bond Fund were extremely risky ventures, investing in illiquid derivatives and high risk credit default swaps. [...]
FINRA recently announced that Alvin Charles Ramsey, formerly a registered representative with Proequities, Inc. (a FINRA registered broker-dealer based in Martinez, Georgia) has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ramsey consented to the sanctions and to the entry of findings that he served as [...]
The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton, Florida. The Law Offices of David A. Carter, P.A. has its office in Boca Raton, Florida because of the obvious benefits of being located so close to [...]
The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton, Florida. The Law Offices of David A. Carter, P.A. has its office in Boca Raton, Florida because of the obvious benefits of being located so close to [...]
FINRA recently announced that Robyn Lynn O’Hara, formerly of WFG Investments, Inc. in Snellville, George, has been barred from FINRA for securities violations. Without admitting or denying the findings, O’Hara consented to the findings that she engaged in multiple trades in customers’ accounts at her member firms without the customers’ authorization and consent. The findings [...]
According to a recent FINRA announcement, Stephanie Murch Haggerty, formerly of Register Financial Associates, Inc. in Atlanta, Georgia, has been fined $10,000 and suspended from associating with any FINRA member firm for 30 days. Without admitting or denying the findings, Haggerty consented to the findings that she did not have the required Series 86 or [...]
The Atlanta Business Chronicle recently touted J.P. Turner & Company, LLC as one of Atlanta ’s Top 10 Brokerage Firms. The survey, which ranked firms by the number of brokers in Atlanta, positions J.P. Turner alongside industry leaders like Morgan Stanley Smith Barney, UBS Financial Services, Edward Jones and Raymond James Financial. The article in [...]