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June 30, 2017
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Current Investigations, Securities Fraud
Recovering Investment losses in Cole Corporate Income Trust Are you concerned about investment losses in Cole Corporate Income Trust? If so, the securities attorneys at The White Law Group may be able to help you recover your losses through FINRA Arbitration. According to their website, Cole Capital is an industry
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June 30, 2017
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Blog, Current Investigations
Investor Alert: National General Holdings Corp. Are you concerned about your investment in National General Holdings Corp.? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. National General
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June 30, 2017
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Blog, Current Investigations, Securities Fraud
Recovery of Investment Losses in Industrial Property Trust Have you suffered investment losses in Industrial Property Trust? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The White Law Group is investigating potential securities fraud claims involving
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June 29, 2017
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Blog, Current Investigations, Securities Fraud
Recovery of Investment Losses due to Churning Fraud Are you a victim of churning fraud? If so, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA arbitration claim against the brokerage firm that employed your advisor. The White Law Group continues to file
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June 29, 2017
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Current Investigations
Investigating Potential Claims Involving KBS Growth & Income REIT Are you concerned about your investment losses in KBS Growth & Income REIT? 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
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June 26, 2017
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Blog, Current Investigations, Securities Fraud
Panel alleges Ameriprise Financial breached fiduciary duty A FINRA arbitration panel of three public arbitrators awarded $440,158 in compensatory damages sought by heirs to one of the firm’s clients, claiming that Ameriprise Financial was liable. According to the Financial Industry Regulatory Authority
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June 26, 2017
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Current Investigations
Investigating Potential Claims in ARC New York City REIT Are you concerned about investment losses in ARC New York City REIT? If so, The White Law Group may be able to help you recover your losses by filing FINRA Arbitration claim against the brokerage firm that sold you the investment. ARC New York City REIT …
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June 24, 2017
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Blog, Current Investigations, Securities Fraud
FINRA Fines Wedbush Securities Inc. for Compliance Issues According to FINRA, Wedbush Securities Inc. (CRD #877, Los Angeles, California) submitted an AWC in which the firm was censured and fined $20,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that
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June 23, 2017
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Current Investigations, Securities Fraud
FINRA Fines Santander Securities for Compliance Issues According to FINRA, Santander Securities LLC (CRD #41791, Dorchester, Massachusetts) submitted an AWC in which the firm was censured, fined $175,000 and ordered to pay $62,807.48, plus interest, in restitution to customers. Without admitting or denying the
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June 23, 2017
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Current Investigations
FINRA Fines Raymond James & Associates, Inc. $180,000 for Compliance issues According to FINRA, Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) submitted an AWC in which the firm was censured, fined $180,000 and required to revise its WSPs and address training of associated persons.
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