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July 29, 2011
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Blog, Securities Fraud
Investigation of ICON Leasing Fund Have you suffered investment losses in an ICON Leasing Fund? If so, The White Law Group may be able to help. The White Law Group is investigating potential securities fraud and suitability claims regarding brokerage firms’ recommendations that investors purchase ICON Leasing Funds.
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July 28, 2011
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Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined SunTrust Robinson Humphrey, Inc. (SunTrust RH) and SunTrust Investment Services, Inc. (SunTrust IS) for violations related to the sale of auction rate securities (ARS). SunTrust RH, which underwrote the ARS, was fined $4.6 million
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July 28, 2011
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Blog, Securities Fraud
Broker-dealers have been engaging in sales practices for structured securities products that hurt retail investors, according to a Securities and Exchange Commission report recently released. In sweep examinations of 11 broker-dealers, the SEC found that the firms may have steered clients into the complex products
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July 27, 2011
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Blog, Securities Fraud
Investigation of LaeRoc Fund Have you suffered investment losses in a LaeRoc Fund? The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. LaeRoc Funds is a real estate investment firm. According to the firm’s
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July 26, 2011
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Blog, Securities Fraud
Have you suffered investment losses in Prime Group Realty Trust? The White Law Group may be able to help. The White Law Group is investigating potential securities fraud claims on behalf of investors involving broker-dealers recommendation that investors purchase risky real estate investments, including investments
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July 25, 2011
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Blog, Securities Fraud
The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court consent order imposing more than $2 million in restitution and civil monetary penalties on defendants Jeremiah C. Yancy (a.k.a. Jeremiah C. Glaub) of Atoka, Okla., and his company, Longbranch Group International LLC
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July 22, 2011
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Blog, Securities Fraud
http://www.securitieslawyer.com
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July 22, 2011
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Blog, Securities Fraud
FINRA Proposes Rule Change for Class Action Employment Claims According to Investment News, FINRA will be proposing a rule change that might help brokers pursue class action employment claims (collective action claims). The Financial Industry Regulatory Authority Inc. wants to ban from its arbitration forums so called
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July 22, 2011
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Blog, Securities Fraud
According to the Investment News, Georgia recently requested information from UBS AG, Morgan Stanley and Ameriprise Financial Inc. in its probe over whether the firms broke the state’s securities laws in sales of structured notes called reverse convertibles. The Secretary of State’s office sent subpoenas
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July 21, 2011
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Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) recently announced that it has suspended William Bailey, a former NEXT Financial Group, Inc. broker of Mesa, Arizona, from the securities industry for two years for unsuitable and excessive trading of mutual funds and variable annuities. Bailey also engaged in
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