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Tag: South Florida

Blog, Securities Fraud Articles

ELKS Structured Products for Retail Investors

The White Law Group is investigating the appropriateness of structured product investments sold by various broker-dealers (including...

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Blog, Securities Fraud Articles

Investigation of UBS financial advisor Eduardo Sordo

We are investigating a possible securities fraud claim on behalf of an investor involving investment recommendations made by former UBS...

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Blog, Securities Fraud Articles

Risks of Investment syndicates

An investment syndicate is a temporary association of investors brought together for the purpose of pooling funds to invest in a larger...

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Blog, Securities Fraud Articles

Thailia Alisa Tucker barred from FINRA for securities fraud

FINRA recently announced that Thailia Alisa Tucker, a former financial advisor for Wachovia Securities, LLC in Miami , Florida , has been...

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Blog, Securities Fraud Articles

Lorraine Leonie Macko fined and suspended

FINRA recently announced that Lorraine Leonie Macko (formerly of RBC Capital Markets Corporation in Miami , Florida ) has been fined $6,000...

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Blog, Securities Fraud Articles

Broad Street Securities, Inc. fined and censured by FINRA

FINRA recently announced that Broad Street Securities, Inc. (a FINRA registered broker-dealer based in Plantation, Florida) has been...

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