Month: March 2021
The SEC charges Adviser Douglas Elstun with Fraud
Investment Adviser Douglas Elstun, Lenexa, KS charged with Defrauding Clients According to a press announcement on March 30, the Securities...
Raymond James Broker Gary Dodds Sanctioned for Churning/Excessive Trading
Oregon reportedly fines Advisor Gary Dodds for alleged financial exploitation of five elderly clients. According to an article in Gorge...
CPA:18 – Global – WP Carey Inc. Tender Offer $3.89 per share
CPA:18 – Global – Corporate Property Associates 18 Global Lawsuits Investigation The White Law Group is investigating potential...
American Independent Securities Group to pay $275,000 to Customers
FINRA sanctions American Independent Securities Group for Supervisory Issues The White Law Group is investigating potential securities...
Cambridge Investment Research Sanctioned for Sales of LJM Fund
FINRA Censures and Fines Cambridge Investment Research for Supervisory Issues The White Law Group is investigating potential securities...
JW Cole Financial Inc. Sanctioned for Sales of LJM Fund
FINRA Censures and Fines JW Cole Financial Inc. for Supervisory Issues The White Law Group is investigating potential securities claims...
