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October 3, 2017
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Blog
Reef 2012-A Private Drilling Fund LP Investment Losses Have you suffered investment losses in Reef 2012-A Private Drilling Fund LP? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. Reef Oil and
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September 11, 2017
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Blog
Financial fraud routinely follows on the heels of disaster. Sadly, Hurricane Harvey and Hurricane Irma figure to be no different. Often after such disasters people unsolicited phone calls, emails and texts, including from messaging apps, about investments that exploit a variety of hurricane-related opportunities.
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January 8, 2017
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Blog, Current Investigations
Recovery of Investment Losses with George Merhoff Are you concerned about investment losses with George Merhoff and Cetera Financial Group? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. According
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October 17, 2016
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Current Investigations, Securities Fraud
According to FINRA, Winston Wade Turner (CRD #5965386, Tampa, Florida) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Turner falsified information relating to variable annuity transactions. The findings stated that Turner circumvented his member firm’s
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October 17, 2016
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Blog, Securities Fraud
Joseph Butler Barred from Securities Industry According to FINRA, Joseph Ronald Butler (CRD #2447535, Brandywine, Maryland) was barred from association with any FINRA member in any capacity and ordered to pay $170,408.18, plus interest, in restitution to his former customer. The SEC affirmed the findings and sanctions
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October 14, 2016
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Blog
According to a new Investment News report, Real Estate Investment Trusts (REITs) are losing steam recently amid fresh concerns of a December interest rate hike. How would a rate hike impact REITs? According to Yahoo Finance (Why Do REITs Fear Rising Interest Rates), interest rates are inversely related to the REIT
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October 14, 2016
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Current Investigations
According to FINRA, Jeffrey H. Howell (CRD# 4561368, Chesterfield, MO) submitted an AWC in which he was barred from association with any FINRA member in any capacity. Between September 2008 and November 2014, Howell allegedly provided false weekly reports to a customer, overvaluing a customer’s account by as
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October 14, 2016
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Current Investigations
Investment Losses with Robert Lappin? According to FINRA, Robert Lappin (CRD# 1570836, Tempe, Arizona) allegedly consented to the sanctions and to the entry of findings that he recommended and effected short-term unit investment trust (UIT) transactions in the accounts of customers without having a reasonable basis
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October 13, 2016
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Blog
The Financial Industry Regulatory Authority (FINRA) is on its way to posting a record year in terms of the amount of fines that it has assessed to member firms. FINRA’s total fines for 2016 will exceed the 2015 total by 70%, and will also exceed the previous record that was set in 2014, according to Sutherland
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October 13, 2016
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Blog
The SEC brought a record number of enforcement actions over the past year, setting all-time highs for cases brought against investment advisers and investment companies, the agency announced this week. In the fiscal year that ended Sept. 30, the SEC filed 868 enforcement actions against various players in the
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