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March 28, 2019
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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
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March 27, 2019
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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
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March 27, 2019
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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
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March 26, 2019
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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
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March 21, 2019
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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
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March 20, 2019
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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
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March 20, 2019
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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
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March 19, 2019
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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
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March 19, 2019
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Blog
HIT REIT – Hospitality Investors Trust Losses – update May 14, 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
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March 18, 2019
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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,
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