January, 2019
Archive

  • Basics of Investment Fraud “Selling Away”

    "Selling Away" Investment Fraud, Featured by Top Securities Fraud Attorneys, The White Law Group

    January 15, 2019 Comments (0) Blog, Securities Fraud

    “Selling Away” Can a FINRA brokerage firm be held responsible for “Selling Away”?  When a licensed securities agent sells an investment to his/her client that was not approved by their employer, that is in violation of FINRA Rules and Regulations. The following is a brief discussion on what

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  • The SEC & the Government Shutdown

    January 15, 2019 Comments (0) Blog, Securities Fraud

    How is the Government Shutdown Affecting the SEC? As you surely know by now, thousands of workers have been furloughed as a result of the U.S. government shutdown on December 22. All “nonessential” functions have been paused as President Donald Trump and congressional leaders try to reach an agreement. The

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  • Dennis Allen Hayes – Broker Investigation

    Dennis Allen Hayes

    January 14, 2019 Comments (0) Blog, Current Investigations

    FINRA Complaint Alleges Dennis Allen Hayes was “Selling Away” According to FINRA, the regulator’s Department of Enforcement has filed a complaint on January 11 against former financial advisor, Dennis Allen Hayes, for allegedly “selling away.” The complaint alleges that between March 2010 and June 2016 while

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  • Mark Lamendola Barred from Securities Industry

    Mark Lamendola

    January 14, 2019 Comments (0) Current Investigations

    Broker Investigation – Mark Lamendola – World Capital Brokerage According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Mark Lamendola from the securities industry. According to FINRA’s Letter of Acceptance, Wavier & Consent, Lamendola allegedly made

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  • Sierra Income Corp. – Merger Update

    Sierra Income Corp. Merger, Featured by Top Securities Fraud Attorneys, The White Law Group

    January 12, 2019 Comments (0) Blog, Current Investigations

    Concerned about your investment in Sierra Income Corp.? Update on May 16, 2019 For more information on how to recover investment losses in Sierra Income Corp., please press play for a short video.                     The White Law Group continues to investigate

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  • Mackenzie Income Fund 27 – Investigation

    Mackenzie Income Fund 27

    January 12, 2019 Comments (0) Blog, Current Investigations

    Mackenzie Income Fund 27– Securities Investigation Are you concerned about your investment in Mackenzie Income Fund 27? 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. Mackenzie Income Fund 27,

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  • Multi-Million Dollar FINRA Fines in 2018

    finra fines

    January 10, 2019 Comments (0) Blog

    8 Firms hit with FINRA Fines in 2018 According to Investment News, the Financial Industry Regulatory Authority (FINRA) hit the following 8 firms with multi-million dollar fines in 2018. Wedbush Securities – In February, FINRA fined Wedbush Securities $1.5 million for net capital deficiencies and for failing to

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  • 10 Worst Performing ETFs in 2018

    Worst performing ETFs

    January 7, 2019 Comments (0) Blog, Current Investigations

    Worst Performing ETFs – Exchange Traded Funds – 2018 According to a recent article in Investment News, these are the 10 worst performing ETFs in 2018. “Most are considered trading vehicles and employ such strategies as double or triple leverage or the use of short positions, which is underscored by some

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  • Parker Drilling Co. Files Chapter 11

    Parker Drilling Company

    January 6, 2019 Comments (0) Blog

    Parker Drilling Company  – Securities investigation Are you concerned about your investment in Parker Drilling Company? 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. The White Law Group

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