Have you suffered investments losses or fear you have been the victim of securities fraud due to your investment with Kale Edgar Evans while he was registered with a Financial Industry Regulatory Authority (FINRA) member firm? If so, The White Law Group may be able to assist you recover your damages through the FINRA dispute [...]
According to an article in the Financial Post, Henry Cole, a former financial advisor for RBC, the investment banking arm of the Royal Bank of Canada, has been sentenced to two and a half years in prison on fraud charges in Ontario, Canada. Cole has reportedly “admitted to using deception and forged signatures to persuade [...]
The SEC recently released an “investor alert” with the goal of helping “investors be better aware of fraudulent investment schemes that may involve social media.” The SEC acknowledges in the alert that social media has become an important tool for the investing public to accumulate information about all facets of investing. Investors are increasingly looking [...]
According to a recent article from Reuters, a Financial Industry Regulatory Authority (FINRA) arbitration panel has ruled in favor of an investor who invested in Auction Rate Securities with Oppenheimer & Co. before that market failed in 2008. The panel reportedly ruled that the investor “was entitled to “recission of $5.98 million in New Jersey [...]
Have you suffered losses due to your investment with Martin T. Wegener (Marty Wegener) and/or his entities Wealth Resources, Inc. and Wealth Resources, LLC? If you have, The White Law Group may be able to help you recover some of your losses through a Financial Industry Regulatory Authority (FINRA) dispute resolution claim. In June of [...]
Have you suffered losses due to your investment with Brian A. Bjork, Select Asset Management and/or his late business partner David Salinas (or his entities)? If you have, The White Law Group may be able to assist you in recovering some of your losses through a Financial Industry Regulatory Authority (FINRA) dispute resolution claim. In [...]
The Financial Industry Regulatory Authority (FINRA) has announced that it has levied a $2 million fine on Wells Fargo Investments, LLC. The fine is related to the sale of reverse convertible securities to more than 20 customers by a former registered representative, Mr. Alfred Chi Chen. The fine also resulted from a failure “to provide sales [...]
According to the North American Securities Administrators Association (NASAA) “Exchange–traded funds (ETFs) have grown increasingly popular with retail investors during the last decade.” The fact that retail, everyday investors are more frequently investing in ETF’s is reportedly a concern for securities regulators because “investors may not understand how these complex investment products work or the [...]
The White Law Group is closely monitoring the ability for investment fraud victims of R. Allen Stanford and Stanford Group Co.’s alleged investment scheme to recover their losses resulting from the purchase of Certificate of Deposit (CD) investments. Just days ago, we wrote that the SIPC told Congress in a letter that they continued to [...]
Have you suffered investment losses due to the purchase of promissory notes through the Van Zandt Agency from Robert Henry Van Zandt? If you have, The White Law Group may be able to assist you in attempting to recover the losses through the FINRA dispute resolution process. Our firm is currently investigating the potential for [...]