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January 24, 2019
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Current Investigations
UIT Switching Cost Hennion & Walsh Customers $300,000 According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Hennion & Walsh, a broker-dealer located in Parsippany, New Jersey after an investigation involving unsuitable sales of Unit Investment Trusts. According to the
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January 23, 2019
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Current Investigations
Hines Global REIT Losses Are you concerned about Hines Global REIT losses? 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 SEC filings last month, the Board has authorized Hines
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January 23, 2019
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Blog, Current Investigations
Concerned about your investment in “CV REIT”? The White Law Group continues to investigate potential securities fraud claims involving broker dealers who may have improperly recommended high risk non-traded REITs such as CV REIT to investors. According to recent filings with the Securities and Exchange Commission
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January 22, 2019
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Blog, Current Investigations
Mass. Regulators charge Royal Alliance Associates with Failure to Supervise According to an article in Investment News today, the state of Massachusetts has charged Royal Alliance Associates with failure to supervise a broker who recommended unsuitable investments to a couple, costing the investors nearly $60,000. The
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January 21, 2019
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Current Investigations
Larry J. Templin – Centaurus Financial – Temple, Texas According to FA-mag on January 18, the Certified Financial Planner Board of Standards has imposed an automatic interim suspension for financial advisor Larry J. Templin of Temple, Texas. Temple was reportedly barred from the securities industry by the
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January 21, 2019
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Blog, Securities Fraud
Press Release: The White Law Group files a FINRA Claim against NYLIFE Securities alleging unsuitable investments in Future Income Payments & Woodbridge. The FINRA claim was filed on January 4, 2019 by The White Law Group and submitted on behalf of an Indiana resident alleging claims for violation of common law
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January 19, 2019
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Blog, Current Investigations
Immune Pharmaceuticals – Securities Investigation Are you concerned about your investment in Immune Pharmaceuticals? 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. Immune Pharmaceuticals
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January 18, 2019
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Blog, Current Investigations
Jay R. Weiser – Despain Financial Corporation According to the Financial Industry Regulatory Authority (FINRA) on January 17, Jay R. Weiser was barred from the securities industry for failure to provide testimony in an investigation. According to the Letter of Acceptance, Waiver and Consent, in November 2018,
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January 17, 2019
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Blog, Current Investigations, Securities Fraud
Merrill Lynch Advisor Thomas Buck (Tom Buck) According to reports this week, federal prosecutors are asking a judge to impose a 78-month prison sentence on Thomas Buck, the former Merrill Lynch broker who in 2018 pled guilty to one count of securities fraud and agreed to pay a $5 million penalty. Buck’s sentencing
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January 16, 2019
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Blog
Federal Board Attempts to Invalidate $6 Billion in Puerto Rico Bondholder Debt After an investigation of all debt issued by Puerto Rico, a federal control board seeks to invalidate more than $6 billion worth of debt. According to reports yesterday, the board that oversees Puerto Rico’s finances stated this week
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