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January 28, 2010
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Blog, Securities Fraud
FINRA recently announced that Michael Lewis Axel, formerly of Tripp & Co., Inc. in New York City , has been barred from association with any FINRA member firm in any capacity. Without admitting or denying the findings, Axel consented to the described sanction and to findings that he misappropriated at least
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January 26, 2010
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Blog, Securities Fraud
An investment syndicate is a temporary association of investors brought together for the purpose of pooling funds to invest in a larger investment. Investment syndicates offer individual investors more leverage to invest in larger businesses and wield more collective power. There are many investor syndicates to choose
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January 22, 2010
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Blog, Securities Fraud
FINRA recently issued an Alert because of its concern that an increasing number of investors may be entering into financing arrangements with brokerage firms without fully appreciating the risks or implications of such arrangements. Here are some of the basics of subordination agreements, and the risks of such
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January 19, 2010
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Blog, Securities Fraud
FINRA recently announced that Thailia Alisa Tucker, a former financial advisor for Wachovia Securities, LLC in Miami , Florida , has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Tucker consented to the described sanction and to the entry of findings
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January 19, 2010
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Blog, Securities Fraud
FINRA recently announced that David Alan Tucker, a financial advisor for Brookstone Securities, Inc. in Port Orange, Florida, has been fined $5,000 and suspended from association with any FINRA member in any capacity for 20 days. The suspension was in effect from December 21, 2009 through January 9, 2010. Without
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January 17, 2010
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Blog, Securities Fraud
The Law Offices of David A. Carter, P.A. recently prevailed in a bankruptcy case of first impression. The issue before the Court was whether the Trustee retains the power to amend a Debtor’s Trust following the death of the Debtor. The case cite and relevant information regarding the case are as follows: United
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January 12, 2010
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Blog, Securities Fraud
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
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January 8, 2010
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Blog, Securities Fraud
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. The White Law Group has its office in Boca Raton, Florida because of the obvious benefits of being located so close to FINRA Dispute Resolutions’
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January 4, 2010
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Blog, Securities Fraud
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. The White Law Group has its office in Boca Raton, Florida because of the obvious benefits of being located so close to FINRA Dispute Resolutions’
Read More »