logo_web_wht
(888) 637-5510

Tag: investor fraud

Blog, Securities Fraud Articles

APS Financial Corporation Expelled By FINRA

Financial Industry Regulatory Authority (FINRA) recently announced that it has expelled APS Financial Corporation, located in Austin,...

Read More

Blog, Securities Fraud Articles

E-Trade Auction Rate Securities Fraud Investigation

The White Law Group is currently investigating securities fraud claims against New York based brokerdealer E-Trade Securities, LLC ...

Read More

Blog, Securities Fraud Articles

Investigation Into Kenneth McLeod Alleged Ponzi Scheme

The White Law Group is investigating potential claims involving the alleged Ponzi scheme perpetrated by Kenneth McLeod.  Specifically, the...

Read More

Blog, Securities Fraud Articles

Investor Alert – Free Lunch Seminars

Investors frequently get invited to free seminars that promise to educate them about investing strategies or managing money in...

Read More

Blog, Securities Fraud Articles

FINRA Fines For Mutual Fund Sales Practices

In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA’s (then...

Read More

Blog, Securities Fraud Articles

FINRA Fines HSBC Securities For Unsuitable CMO Sales

FINRA recently announced that it has fined HSBC Securities (USA) Inc. $375,000 for recommending unsuitable sales of inverse floating rate...

Read More