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September 17, 2019
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Blog, Current Investigations
Donald E. Teboe, Cantella & Co. in Clinton, MI Are you concerned about investments with Donald E. Teboe in Clinton, MI? If so, the securities attorneys at The White Law Group may be able to help you. According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial
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September 17, 2019
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Current Investigations, Securities Fraud
Stifel Nicholas & BMO Capital Markets Sanctioned for Reportedly Providing Deficient Blue Sheet Data According to press announcement on September 16, two broker dealers, Stifel, Nicolaus & Co., Inc. and BMO Capital Markets Corp. have agreed to settle charges for providing incomplete and inaccurate securities
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September 17, 2019
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Current Investigations
SEC reportedly charges RIA McDermott Investment Advisors with UIT overcharges According to theSecurities and Exchange Commission, the regulator has charged McDermott Investment Advisors and its chief executive for allegedly defrauding clients by purportedly charging improper transaction costs related to unit
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September 16, 2019
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Current Investigations, Securities Fraud
Jack D. Stone, Forest Securities in Hillside, IL Are you concerned about investments with Jack D. Stone in Hillside, IL? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. According to the Financial Industry Regulatory Authority (FINRA), the
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September 13, 2019
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Current Investigations
UBS Lawsuit reportedly involves Bill Hightower According to the Financial Industry Regulatory Authority (FINRA), a FINRA panel ordered UBS Financial Services Inc. to pay $555,000 to an elderly Texas widow for investment losses in her individual retirement accounts due to allegedly unsuitable investments. The claimant
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September 11, 2019
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Blog, Current Investigations
Apostolos Pitsironis (Paul Pitsironis), Janney Montgomery Scott, Melville, NY Are you concerned about investments with Apostolos Pitsironis in Melville, NY? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. According to the Financial Industry
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September 11, 2019
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Blog
FINRA Panel finds Wells Fargo Violated Nevada’s New Fiduciary Rule According to an article in the Wall Street Journal this week, a Nevada investor was reportedly awarded $40,000 in compensatory damages in the first case that invoked Nevada’s fiduciary rule, which requires all types of financial advisors to put
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September 11, 2019
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Blog, Current Investigations
Michael Barry Carter (Mike Carter), Morgan Stanley, Mclean, VA Are you concerned about investments with Michael Barry Carter in Mclean, VA? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. According to the Financial Industry Regulatory Authority
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September 11, 2019
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Current Investigations
Hartman Short Term Income Properties XX Update on Merger Agreement Are you concerned about your investment in Hartman Short Term Income Properties XX? 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
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September 10, 2019
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Current Investigations
Concerned about investment losses in CNL Healthcare Properties? Have you suffered losses investing in CNL Healthcare Properties? 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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