-
February 27, 2015
Comments (0)
Blog, Securities Fraud
Recent news regarding the real estate investment trust, United Realty Trust, may be of concern to some investors. According to Investment news, a former executive of Cabot Lodge securities, Al Akerman, sent a letter to the SEC’s Office of the Whistleblower regarding “apparent accounting irregularities and
Read More »
-
February 20, 2015
Comments (0)
Blog, Securities Fraud
Have you suffered financial losses as a result of investments made with Jason Muskey? If so, The White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA). According to a press release from the United States
Read More »
-
February 20, 2015
Comments (0)
Blog, Securities Fraud
If you suffered losses investing in Prestige Wealth Management Fund, the securities attorneys of The White Law Group may be able to help you recover your investment losses. According to a press release, the Securities and Exchange Commission (SEC) recently accused the owners of a Buffalo area investment advisory firm
Read More »
-
February 18, 2015
Comments (0)
Blog, Securities Fraud
According to FA-Magazine, the commission of the SEC, Luis Aguilar, made claims that retail investors are often victim to higher markups in the municipal bond market compared to institutional investors. According to Aguilar, retail investors paid more that $10billion in excessive markups and markdowns between 2005 and
Read More »
-
February 16, 2015
Comments (0)
Blog, Securities Fraud
According to an SEC press release, Oppenheimer & CO. recently agreed to admit wrongdoing and pay $10 million to settle the SEC’s charges that it allegedly sold penny stock in unregistered offerings. Oppenheimer will also pay an additional $10 million to settle a parallel action with the Treasury
Read More »
-
February 13, 2015
Comments (0)
Blog, Securities Fraud
The White Law Group is investigating the liability that brokerage firms may have for selling Lease Equity Appreciation Fund II, L.P. According to a letter dated February 3, 2015, LEAF Fund II has finished the liquidation process and is now terminated. Unfortunately, after paying the Fund’s debt and other
Read More »
-
February 12, 2015
Comments (0)
Blog, Securities Fraud
Malcolm Segal (CRD #1723563, Langhorne, Pennsylvania) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Segal consented to the sanction and to the entry of findings that he failed to provide documents and information or
Read More »
-
February 12, 2015
Comments (0)
Blog, Securities Fraud
Jamie David Pope (CRD #4172805, Winter Park, Florida) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Pope consented to the sanction and to the entry of findings that he converted funds a customer of his member firm
Read More »
-
February 12, 2015
Comments (0)
Blog, Securities Fraud
James Mark McLaughlin (CRD #1925099, Westover, Alabama) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, McLaughlin consented to the sanction and to the entry of findings that he excessively traded customers’ accounts.
Read More »
-
February 12, 2015
Comments (0)
Blog, Securities Fraud
Patrick Richard Harrison (CRD #4976695, Fircrest, Washington) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Harrison consented to the sanction and to the entry of findings that he participated in a series of private
Read More »