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Month: January 2012

Blog, Securities Fraud Articles

CBG Financial Group, Inc. fined by FINRA

CBG Financial Group, Inc. (CRD #6578, Boca Raton, Florida) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...

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Blog, Securities Fraud Articles

Former RBC Financial Advisor Henry Cole Sentenced for Fraud

According to an article in the Financial Post, Henry Cole, a former financial advisor for RBC, the investment banking arm of the Royal Bank...

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Blog, Securities Fraud Articles

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Lone Star Securities, Inc. fined by FINRA

FINRA Fines Lone Star Securities Did you lose money investing with Lone Star Securities, Inc.? If so, The White Law Group may be able to...

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Blog, Securities Fraud Articles

Brookstone Securities, Inc. fined by FINRA

Brookstone Securities, Inc. (CRD #13366, Lakeland, Florida) recently submitted an Offer of Settlement in which the firm was censured and...

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Blog, Securities Fraud Articles

Merrill Lynch fined by FINRA For Failure to Supervise

The Financial Industry Regulatory Authority (FINRA) announced that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million...

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Blog, Securities Fraud Articles

Wunderlich Securities, Inc. fined by FINRA

Wunderlich Securities, Inc. (CRD #2543, Memphis, Tennessee) recently submitted a Letter of Acceptance, Waiver and Consent in which the...

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