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December 28, 2018
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Blog
FINRA – Essential Investor Tips for 2019 The Financial Industry Regulatory Authority (FINRA) just released an Investor Alert on essential investor tips for 2019. Begin your retirement planning. If you continue to wait until you have enough money to save for retirement, you may never save a dime. Talk to your
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December 27, 2018
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Blog, Current Investigations, Securities Fraud
Stifel Nicolaus & Co to pay $300,000 for Alleged Scheme According to reports, Massachusetts’ regulators led by Secretarty of State William Galvin, has gone after the broker-dealer Stifel, Nicolaus & Co. and an investment advisor with whom the firm had a deal to handle all his clients’ trading.
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December 26, 2018
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Blog
Securities Investigation- Red River Health Bonds Are you concerned about your investment in Red River Health Bonds? 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 the prospectus,
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December 21, 2018
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Blog, Current Investigations, Securities Fraud
Cetera Advisor Networks According to the Financial Industry Regulatory Authority (FINRA), the regulator has fined Cetera Advisor Networks $700,000 and ordered $691,800 in customer restitution in connection with excessive trades, also known as “how” in the securities industry. Cetera Advisor Networks must
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December 21, 2018
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Blog, Current Investigations, Securities Fraud
Concerned about your investment in a GPB Capital Holdings offering? According to Investment News on Tuesday, both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have recently launched investigations into broker dealers who have sold private placement offerings from
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December 19, 2018
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Current Investigations
Broker Investigation – Adam Michael Lopez – Country Capital Management According to the Financial Industry Regulatory Authority (FINRA), on December 17, 2018, the regulator has reportedly barred Adam Michael Lopez from associating with any FINRA member at any time. According to the Letter of Acceptance, Waiver
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December 17, 2018
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Blog, Current Investigations, Securities Fraud
Hector May – Securities America – Securities Fraud Investigation According to reports on December 13, New York financial advisor Hector May pleaded guilty to federal charges for allegedly stealing more than $11 million from his clients. May, of Orangeburg, New York, reportedly pleaded guilty to conspiracy to
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December 16, 2018
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Current Investigations
Tamarisk Fund LP – Securities Investigation Are you concerned about your investment in Tamarisk Fund LP? 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. Hedge funds are typically
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December 16, 2018
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Blog, Current Investigations
Nezu Japan Fund LTD- Investigating Potential Claims Are you concerned about your investment in Nezu Japan Fund LTD? 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. Hedge funds are typically
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December 16, 2018
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Blog
Investors may have claims – Atlas Fundamental Trading Fund LP Are you concerned about your investment in Atlas Fundamental Trading Fund LP? 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. Atlas
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