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 [...]
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 [...]
The White Law Group is investigating a possible securities fraud claim on behalf an West Memphis, Arkansas investor involving former UBS Financial Services financial advisor Stephen Weatherly. Specifically, we are investigating whether Mr. Weatherly improperly recommended that the retired investor invest a significant portion of his life savings in a AXA variable annuity. Not only [...]
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 [...]
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 [...]
On January 4, 2009, the Securities Exchange Commission (SEC) announced the settlement of the matter instituted against William Keith Phillips on July 20, 2009. Pursuant to the settlement, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act and [...]
FINRA recently announced that Brenda Denise Craig, formerly of Silver Oak Securities, Inc. in Arlington, Tennessee, has been barred from association with any FINRA member firm in any capacity (Craig was previously registered with Jefferson Pilot Securities Corporation and Sunset Financial Services, Inc.). Without admitting or denying, Craig consented to findings that she drafted a [...]