Investmentnews.com recently published a list of the biggest “fee-only firms” on their website. They compiled this list with data from the RIA Database. The full list includes the total amounts of Assests Under Management (AUM) and that is further broken down by discretionary and non-discretionary assets. The list of firms in order of AUM is [...]
Financial Advisors have a fiduciary duty to research investments and to make sure that every investment they recommend is suitable for the client. This obligation is typically called the “Know Your Customer” Rule. Generally, in order to determine whether an investment is suitable, a stockbroker must know the clients age, net worth, investment objectives, investment [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm. Our firm is dedicated to helping investors in claims against their financial professional or brokerage firm in Milwaukee, Wisconsin and throughout the country. The firm has offices in Chicago, Illinois and Boca Raton, Florida. The White [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with over thirty years securities law experience, including experience at FINRA (f/k/a the NASD) and the SEC. The firm has offices in Chicago, Illinois and Boca Raton, Florida. The White Law Group has its offices in [...]
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 [...]
According to the Investment News, the following are the top broker-dealers (ranked by reps producing over $100,000): Click column headers to sort fields Rank Broker-dealer No. of reps 1 LPL Financial* 5432 • Associated Securities Corp. 121 • Mutual Service Corp. 547 • Waterstone Financial Group 275 2 AIG Advisor Group 2782 • AIG Financial [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with over thirty years securities law experience, including experience at FINRA (f/k/a the NASD) and the SEC. The firm has offices in Chicago, Illinois and Boca Raton, Florida. The White Law Group has its offices in [...]
If you have suffered investment losses in a hedge fund recommended to you by your financial advisor or stockbroker, The White Law Group may be able to help. A hedge fund is an aggressively managed portfolio of investments that uses advanced investment strategies such as leveraged, long, short and derivative positions in both domestic and international markets with the goal [...]
The White Law Group is investigating securities fraud claims involving ProShares Funds and other Exchange Traded Funds (ETFs) sold to investors by their financial advisors. These funds subjected investors to substantially more risk than was disclosed and resulted in significant losses by investors. The leveraged ETFs that The White Law Group is investigating include but [...]
An Ooltewah, Tenn., financial adviser has been sentenced to five years in prison and ordered to pay more than $2.7 million in restitution to his former broker-dealer, Ameriprise Financial Inc., after pleading guilty to misappropriating his clients’ money while he worked for the Minneapolis-based firm. According to a news release from the U.S. Attorney’s Office [...]