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July 29, 2014
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Blog, Securities Fraud
Sonoma Ridge Capital Investment Losses Have you suffered investment losses in Sonoma Ridge Capital, LLC? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. According to the Sonoma Ridge
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July 24, 2014
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Blog, Securities Fraud
According to FA Magazine, Raymond James Financial Services (RJFS) has filed a lawsuit against former broker, Jo Ellen Fisher, for allegedly diverting nearly $1.5 million away from an elderly client’s brokerage account. RJFS accused Fisher of concocting a scheme that made it look as though Fisher’s own
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July 23, 2014
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Blog, Securities Fraud
Have you suffered investment losses as a result of your dealings with former Sterne Agee Financial Services broker, Dean Mustaphalli? If so, The White Law Group may be able to help recovery some of your losses. According to Investment News, Mustaphalli may be expelled from the industry for allegedly operating a $6
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July 22, 2014
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Blog, Securities Fraud
According to a FINRA disciplinary action announcement, Berle Lorenzo Stocks (CRD #1513263, Charlotte, North Carolina) recently submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Stocks consented
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July 22, 2014
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Blog, Securities Fraud
According to a FINRA disciplinary action announcement, Gabriel Nelson Smith (CRD #2950071, Nashville, Tennessee) recently was barred from association with any FINRA member in any capacity and ordered to pay $200,000, plus interest, in restitution to a customer. The sanctions were based on findings that Smith solicited
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July 22, 2014
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Blog, Securities Fraud
According to a FINRA disciplinary action announcement, Gregg Matthews Kuchar (CRD #1033768, Asheville, North Carolina) recently submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kuchar consented
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July 22, 2014
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Blog, Securities Fraud
According to a FINRA disciplinary action announcement, Kevin Francis Hamilton (CRD #1089468, Wycombe, Pennsylvania) recently submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Hamilton consented
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July 22, 2014
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Blog, Securities Fraud
According to a FINRA disciplinary action announcement, Michael James Frew (CRD #812805, Hillsborough, California) recently submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Frew consented to the
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July 22, 2014
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Blog, Securities Fraud
According to a FINRA disciplinary action announcement, John Warren DuBrule (CRD #1223724, Orlando, Florida) recently submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, DuBrule consented to the sanction and to the
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July 22, 2014
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Blog, Securities Fraud
According to a FINRA disciplinary action announcement, Jaime Andres Diaz (CRD #4298373, New York, New York) recently was barred from association with any FINRA member in any capacity and ordered to pay a total of $600,000, plus interest, in restitution to customers. The sanctions were based on findings that Diaz
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