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March 30, 2016
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Blog, Securities Fraud
According to Investment News, the Financial Industry Regulatory Authority (FINRA) awarded three investors more than $470,000 in an arbitration award against UBS Group AG’s wealth management for over-concentration in Puerto Rico bonds. The three investors, who were seeking $570,000 in damages, alleged fraud and
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March 30, 2016
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Blog
Have you suffered losses in Comstock Resources? If so, the securities attorneys of The White Law Group may be able to help. According to their website, Comstock Resources is based in Frisco, Texas and is engaged in the acquisition, development, production and exploration of oil and natural gas with operations
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March 25, 2016
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Blog
Have you suffered losses in Emerald Oil, Inc.? If so, the securities attorneys of The White Law Group may be able to help. Emerald is an independent exploration and production operator that is focused on acquiring acreage and developing wells in the Williston Basin of North Dakota and Montana, targeting the
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March 24, 2016
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Blog, Securities Fraud
A former Indianapolis broker, Ronald W. Nichter, has reportedly been sentenced for his role in a fraud scheme. According to a press release, Nichter was sentenced to one year in prison for eight counts of mail fraud in connection with a scheme to defraud clients. Beginning in October 2009, Nichter allegedly created
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March 24, 2016
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Blog, Securities Fraud
Former broker, Levi D Lindemann, appears to have found himself in hot water with the Department of Justice in Minnesota. According to a press release, Linnemann pled guilty to stealing from his investment advisory clients. He was indicted in December 2015 on one count mail fraud and one count money Laundering.
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March 24, 2016
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Blog, Securities Fraud
Have you suffered losses due to your investment in the LEAF Equipment Leasing Income Fund III or another LEAF fund? If so, the attorneys of The White Law Group may be able to help you recover your investment losses through FINRA arbitration. In August 2015, LEAF Equipment Leasing Income Fund III filed a Certification
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March 23, 2016
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Blog, Securities Fraud
In a time of record low interest rates, investors have sought for yield in alternative products like BDCs or nontraded business development companies. Unfortunately investor may not have known what they were getting into when investing in BDCs. According to the The Wall Street Journal, BDCs carry a number of
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March 23, 2016
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According to FINRA’s March 2016 Disciplinary Report, Michael Bruce Winegar (CRD #1232800, Salem, Oregon) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Winegar consented to the sanction and to the entry of
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March 23, 2016
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FINRA bars Kevin D. Wanner after Termination According to the Financial Industry Regulatory Authority’s March 2016 Disciplinary Report, Kevin D. Wanner (CRD #1402627, Bismarck, North Dakota) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting
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March 23, 2016
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According to FINRA’s March 2016 Disciplinary Report, Richard A. McGuire (CRD #4637028, Bay Shore, New York) was recently barred from association with any FINRA member in any capacity and ordered to pay $95,000, plus interest, in restitution to a customer’s estate. The NAC affirmed the findings and sanctions
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