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 [...]
If you have suffered investment losses as a result of the fraud or negligence of your financial professional or brokerage firm, The White Law Group may be able to help. 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 [...]
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 [...]
Waddell & Reed’s sales practices have been the subject of regulatory inquiry on several occasions. Back in 2005, FINRA resolved its action against Waddell & Reed, Inc., of Overland Park, KS, arising from thousands of variable annuity exchanges made as part of the firm’s national switching campaign. Under the terms of the settlement with FINRA [...]
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, 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. The firm is dedicated to assisting investors who have suffered investment losses as a result of their financial advisor or broker-dealers’ fraud or negligence. We are currently [...]