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July 31, 2017
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Blog, Current Investigations, Securities Fraud
Summit Equities Censured & Fined According to FINRA, Summit Equities Inc. (CRD #11039, Parsippany, New Jersey) on May 1, 2017 an AWC was issued in which the firm was censured and fined $325,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it
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July 31, 2017
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Blog, Current Investigations, Securities Fraud
RBC Capital Markets LLC Fined & Censured According to FINRA, on May 3, 2017, RBC Capital Markets, LLC (CRD #31194, New York, New York) was issued an AWC in which the firm was censured, fined $225,000, required to revise its WSPs concerning transmitting accurate information to the Order Audit Trail System (OATS),
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July 30, 2017
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Blog, Current Investigations
Investor Alert: Uni-Pixel Are you concerned about your investment in Uni-Pixel? 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. UniPixel, Inc. (NASDAQ: UNXL) develops and markets high
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July 29, 2017
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Blog, Current Investigations
Investigating Potential Claims involving Gold Resource Corp. Are you concerned about your investment in Gold Resource 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. According to their
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July 28, 2017
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Blog, Current Investigations, Securities Fraud
Austin Dutton and Allegations of “dishonest or unethical practices in the securities business” Have you suffered losses investing with Austin Dutton and Newbridge Securities? If so, the securities attorneys at The White Law Group may be able to help you to recover your losses through FINRA Arbitration.
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July 28, 2017
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Blog, Current Investigations
Investor Alert: Fleetcor Technologies Inc. Are you concerned about your investment in Fleetcor Technologies Inc.? 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. FleetCor Technologies, Inc.
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July 28, 2017
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Blog, Current Investigations, Securities Fraud
Puerto Rico Bankruptcy – 18 public agencies owe a combined $120 billion in bond and pension debt Did you lose money investing in Puerto Rico bonds at the recommendation of your broker? If so, the attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim
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July 28, 2017
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Blog, Securities Fraud
Kim Dee Isaacson Barred for Allegations of Unauthorized Trades According to reports, The Financial Industry Regulatory Authority’s enforcement unit has permanently barred former Morgan Stanley broker Kim Dee Isaacson for overstating a client’s account balance by as much as $3.1 million while reportedly making
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July 27, 2017
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Current Investigations, Securities Fraud
Anthony Ferrone Barred for Allegations of Unsuitable trading According to reports, The Financial Industry Regulatory Authority Inc. has barred former Morgan Stanley broker Anthony Ferrone from the securities industry due to allegations he engaged in unsuitable trading of unit investment trusts in clients’
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July 26, 2017
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Current Investigations, Securities Fraud
Recovery of Investment Losses in Icon ECI Fund Fourteen LP Did you lose money investing in ICON ECI Fund Fourteen LP at the advice of your broker? 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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