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April 28, 2018
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Blog, Current Investigations
Securities Investigation – Spherix Inc. Are you concerned about your investment in Spherix 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. According to a company press release,
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April 27, 2018
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Blog, Current Investigations
The White Law Group continues to investigate potential securities fraud claims involving broker-dealers’ improper recommendation of high-risk non-traded REIT investments, like Griffin Capital Essential Asset REIT. According to Mackenzie Capital Management, the company has recently extended a tender offer to
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April 27, 2018
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Current Investigations, Securities Fraud
FINRA Arbitration Panel Awards Morgan Stanley for $6 M for Damages According to a FINRA award document, a FINRA arbitration panel has ordered former Morgan Stanley rep, Barry Connell, to pay the wirehouse $6 million in compensatory damages and interest. As we told you in November, Connell was arrested February
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April 27, 2018
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Blog, Current Investigations
Secondary Market Listing – $1.60/share – Summit Healthcare REIT Did you lose money investing in Summit Healthcare REIT at the recommendation of your financial advisor? If so, The White Law Group may be able to help you recover your losses by filing a FINRA arbitration claim against the brokerage firm that
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April 26, 2018
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Blog
FINRA Sanctions Western International Securities for Supervisory Issues According to the Financial Industry Regulatory Authority (FINRA), on February 28, 2018 an AWC was issued in which Western International Securities, Inc. (CRD #39262, Pasadena, California) was censured, fined $125,000 and ordered to pay
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April 26, 2018
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Blog, Securities Fraud
FINRA proposes new rule for Churning Fraud – Excessive trades The Financial Industry Regulatory Authority Inc. is proposing a new rule to catch more brokers who are churning customer accounts, according to an article in Investment News on Monday. FINRA and the Securities and Exchange Commission have been targeting
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April 26, 2018
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Current Investigations, Securities Fraud
FINRA Investigates Douglas Leone – Allegations of Excessive Trading, Unsuitable Investments According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has barred New York Financial Advisor Douglas Anthony Leone Respondent from associating with any FINRA member firm in any capacity
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April 25, 2018
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Blog, Current Investigations
Concerned about your investment in Benefit Street Partners Realty Trust? Have you suffered losses investing in Benefit Street Partners Realty Trust? If so, the securities attorneys at The White Law Group may be able to help you to recover your losses through FINRA Arbitration. Benefit Street Partners Realty Trust is a
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April 25, 2018
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Blog, Current Investigations
Investigating Potential Claims – Boston Therapeutics Are you concerned about your investment in Boston Therapeutics? 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 Bloomberg,
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April 25, 2018
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Blog, Current Investigations
FINRA Sanctions LPL Financial for Supervisory Issues According to the Financial Industry Regulatory Authority on February 6, 2018, LPL Financial LLC (CRD #6413, Boston, Massachusetts) was issued an AWC in which the firm was censured and fined $375,000. Without admitting or denying the findings, LPL Financial consented
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