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January 26, 2011
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Blog, Securities Fraud
Merrill Lynch recently agreed to pay a $10 million fine to settle civil securities fraud charges by regulators who accused the firm of misusing customers’ order data to make trades for its own account and for failing to disclose trading fees. The Securities and Exchange Commission announced the settlement with
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January 26, 2011
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Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the National Football League (NFL) recently announced that they are working together to help incoming NFL players spot and avoid investment fraud and begin their playing careers by making informed financial decisions. This joint
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January 24, 2011
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Blog, Securities Fraud
Have you suffered investment losses in the Cole Credit Property Trust REIT? The White Law Group may be able to help. The White Law Group is investigating potential securities fraud claims on behalf of investors who purchased risky REIT investments like Cole Credit Property Trust REIT at the recommendation of their
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January 24, 2011
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Blog, Securities Fraud
Have you suffered investment losses in the Lightstone Value Plus REIT? The White Law Group may be able to help. The White Law Group is investigating potential securities fraud claims on behalf of investors who purchased risky REIT investments like Lightstone Value Plus REIT at the recommendation of their financial
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January 21, 2011
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Blog, Securities Fraud
Private Placements have become a hot button issue for FINRA regulators and securities attorneys representing investors. The number of private placement cases has spiked considerably over the past few years in large part because of the sizable commissions brokerage firms generate from selling private placements. We
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January 18, 2011
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Blog, Securities Fraud
RANK Broker-dealer Total gross revenues 1 LPL Investment Holdings Inc. $2.8B • LPL Financial One Beacon St. Boston, MA 02108 joinlpl.com (888) 250-2420 $2.6B • Uvest 2810 Coliseum Centre Drive Charlotte, NC 28217 uvest.com (800) 277-8802 $195.2M 2 Ameriprise Financial Services Inc. 108 Ameriprise Financial Center
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January 17, 2011
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Blog, Securities Fraud
The White Law Group is investigating potential claims on behalf of investors who invested in the 1861 Capital Management municipal arbitrage fund. The municipal bond arbitrage strategy employed by this fund was risky and exposed investors to significant losses. It appears that 1861 Capital Management Fund was marketed
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January 17, 2011
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Blog, Securities Fraud
FINRA is requesting comment on a proposal to amend FINRA Rule 5122, which requires, subject to certain exemptions, disclosure in the offering document of the intended use of offering proceeds, expenses, and the amount of selling compensation to be paid to the broker-dealer and its associated persons, in any private
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January 13, 2011
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Blog, Securities Fraud
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
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January 12, 2011
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Blog, Securities Fraud
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with over thirty years of securities law experience, including experience working at FINRA (f/k/a the NASD) and the SEC. The firm has offices in Chicago, Illinois and Boca
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