-
March 28, 2019
Comments (0)
Blog, Current Investigations
Sam Aziz – Coastal Securities – Dublin, Ohio According to Letter of Acceptance, Waiver & Consent, on March 27 The Financial Industry Regulatory Authority (FINRA) has barred former financial advisor Sam Aziz from the securities industry. FINRA reportedly commenced an investigation into Aziz and his sales
Read More »
-
March 27, 2019
Comments (0)
Blog, Current Investigations, Securities Fraud
Lawsuit Involves Former Broker Hector May & Alleged Ponzi Scheme According to numerous reports this week, Securities America is facing a lawsuit alleging a broker the company fired last year cost a family $18 million in losses and the company failed to supervise him. As we told you previously, Hector May pleaded
Read More »
-
March 27, 2019
Comments (0)
Blog, Securities Fraud
Merrill Lynch Sanctioned for Alleged ADR Violations According to a press announcement this week, Merrill Lynch, Pierce, Fenner & Smith Incorporated has agreed to pay more than $8 million to settle SEC charges of infractions related to American Depositary Receipts (ADR), the U.S. securities representing foreign
Read More »
-
March 26, 2019
Comments (0)
Blog, Current Investigations, Securities Fraud
Investigating Potential Lawsuits – Direct Lending Investments Have you suffered losses investing in Direct Lending Investments? If so, the securities attorneys at The White Law Group may be able to help you. According to a press announcement this week, the Securities and Exchange Commission has reportedly charged
Read More »
-
March 21, 2019
Comments (0)
Blog, Current Investigations
Concerned about your investment in Cardinal Energy Group? Have you suffered losses investing in Cardinal Energy Group at the advice of your financial advisor? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the brokerage firm that sold
Read More »
-
March 20, 2019
Comments (0)
Blog, Current Investigations
Dudley Stephens – Coastal Equities – New York, NY According to publicly available FINRA records, former financial advisor Dudley Stephens has disclosed a pending customer complaint on February 20, 2019. The customer(s) allege that “Stephens’ conduct included making unauthorized trades, trading their
Read More »
-
March 20, 2019
Comments (0)
Blog, Current Investigations
Concerned about your investment in Steadfast Apartment REIT? Are you concerned about your investment in Steadfast Apartment REIT? If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA Arbitration claim against the brokerage firm that sold you the
Read More »
-
March 19, 2019
Comments (0)
Blog, Current Investigations
Judith A. Johnston – NYLife Securities – Investigation According to the Financial Industry Regulatory Authority (FINRA) yesterday, the regulator has barred financial advisor Judith A. Johnston from the securities industry. In the Letter of Acceptance, Waiver & Consent dated March 18, 2019, FINRA states
Read More »
-
March 19, 2019
Comments (0)
Blog
HIT REIT – Hospitality Investors Trust Losses – update Sept. 13, 2019 Did you lose money investing in Hospitality Investors Trust (HIT REIT) at the recommendation of your financial advisor? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim
Read More »
-
March 18, 2019
Comments (0)
Blog, Current Investigations
Gepco Ltd. – Investigating Potential Lawsuits Have you suffered losses investing in Gepco Ltd.? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. Gepco, Ltd., a development stage company,
Read More »
