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September 30, 2015
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Blog, Securities Fraud
According to reports, American Finance Trust Inc. and Healthcare Trust Inc. have decided not to pursue a listing on a national stock exchange this quarter blaming current market conditions for their decision. Both REITs are managed by Nicholas Schorsch’s AR Capital. According to Investment News, ” the
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September 29, 2015
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Blog, Current Investigations, Securities Fraud
The Securities and Exchange Commission settled charges against UBS Financial Services of Puerto Rico for failing to supervise former broker, Jose Ramirez Jr. who allegedly had customers invest in funds using money borrowed from a UBS Puerto Rico affiliated bank. According to SEC press release, the complaint alleged
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September 29, 2015
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Blog, Securities Fraud
The Securities and Exchange Commision (SEC) recently filed charges against four former officers of SMF Energy Corp. for inflating the company’s revenue through a fraudulent billing scheme. The SEC alleges that SMF overbilled certain customers for fuel that was not delivered and added surcharges not inline with
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September 28, 2015
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Blog, Securities Fraud
State securities regulators reached an agreement with LPL Financial regarding the sale of non-traded RETs. According to FA-Mag, LPL agreed to pay $1.4 million fine and restitution to investors in an amount yet to be determined. Between January 1, 2008, through December 31, 2013, State securities regulators claim LPL
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September 28, 2015
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Blog, Securities Fraud
Have you suffered losses in Miasole Investments II LLC? If so, the securities attorneys of The White Law Group may be able to help you recover your losses through a FINRA arbitration claim. Miasole Investments II LLC was founded in 2010 and is based in San Francisco, California. According to a Form Reg-D filed with
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September 28, 2015
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Blog, Securities Fraud
Have you suffered investment losses with Stephen Voboril? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. Stephen Voboril, a former Northwestern Mutual Life Insurance broker, was barred from working in the securities industry after failing to respond to inquiries made
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September 28, 2015
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Blog, Securities Fraud
LPL Financial has parted ways with Garrett Andrew Ahrens and his firm Ahrens Investment Partners. Ahrens received notice of an investigation by the Financial Industry Regulatory Authority (FINRA) for alleged misuse of consolidated reports. According to Investment News, Ahrens was a top ranked advisor for LPL
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September 24, 2015
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Blog, Securities Fraud
Have you suffered losses as a result of your dealings with Jean Ann Walsh-Josephson? If so, The White Law Group may be able to help through a FINRA arbitration claim against her former employers. Charged with forgery and theft earlier this month, financial advisor Jean Ann Walsh-Josephson is now accused of stealing
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September 23, 2015
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Blog, Securities Fraud
Have you suffered investment losses in a V.W. Industries, LLC (VWI)? If so, The White Law Group may be able to help. The White Law Group is investigating potential securities fraud claims on behalf of investors in V.W. Industries. Specifically, the firm is reviewing the liability that brokerage firms and financial
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September 23, 2015
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Blog, Securities Fraud
Top executives at Penson Financial Service are facing charges filed by the Securities and Exchange Commission (SEC). The SEC has charged four officials for their role in the improper authorization of margin loans and accused of improper accounting and disclosure failures. According to a press release, Penson Financial
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