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October 31, 2018
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Blog, Current Investigations
FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has fined LPL Financial LLC $2.75 million for complaint-reporting and anti-money laundering program failures over a three year period. FINRA’s
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October 31, 2018
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Blog, Current Investigations
Bruce Plyer – Morgan Stanley – Florham Park, New Jersey According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Bruce Plyer from the securities industry. FINRA states in the Letter of Acceptance, Waiver and Consent that Plyer “failed to appear and provide
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October 30, 2018
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Blog, Current Investigations
GPB Automotive Portfolio LP – Securities Investigation The White Law Group continues its investigation involving broker dealers who may have improperly recommended GPB Automotive Portfolio LP to investors. According to its website, GPB Capital Holdings is a New York-based alternative asset management firm focusing
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October 28, 2018
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Blog, Current Investigations
Investigating Potential Claims involving Wheeler Real Estate Investment Trust Are you concerned about your investment in Wheeler Real Estate Investment Trust? 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
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October 28, 2018
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Blog
Investor Alert – James River Coal Inc. Are you concerned about your investment in James River Coal 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 its website, James
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October 26, 2018
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Blog
Alex G. Herrera – UBS Financial – Coral Gables, FL According to a press release, UBS Financial Services is facing a claim that it failed to supervise one of its former brokers, Alex G. Herrera who allegedly spent a client’s money to build a vacation home for himself. Alex G. Herrera, of Coral Gables, Fla.,
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October 26, 2018
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Blog, Current Investigations, Securities Fraud
William A. Hightower – Hightower Capital Group – Investigation According to a press announcement on October 11, 2018, former financial advisor William A. Hightower was reportedly indicted on thirteen counts of wire fraud, mail fraud and money laundering. The announcement further states that Hightower, age 60,
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October 26, 2018
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Blog
Stocks Tumble this Week after Disappointing Financial Results with Internet Companies According to reports today, the major stock indexes sold off in today’s stock market action. The Dow Jones industrial average declined by more than 238 points on Friday, as the stock market correction continues. Disappointing
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October 25, 2018
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Blog, Current Investigations, Securities Fraud
Jim Flynn – James Travis Flynn – Greenville, SC – Barred from Securities Industry Are you concerned about your investments with financial advisor Jim Flynn in Greenville, South Carolina? If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a
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October 25, 2018
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Blog, Current Investigations
Investor Alert – CNH Global NV Are you concerned about your investment in CNH Global NV? 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, CNH Global NV manufactures,
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