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February 14, 2019
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Blog, Current Investigations, Securities Fraud
Tom Buck Sentenced to 3 1/2 Years in Prison. According to reports, Thomas Buck, a former Merrill Lynch advisor who previously pled guilty to overcharging his clients excessive commissions was sentenced to almost three-and-a-half years in prison yesterday. Not only did Buck previously plead guilty 13 months ago but the
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February 14, 2019
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Blog, Current Investigations, Securities Fraud
Former UBS Advisor John MacColl Sentenced over Alleged Embezzlement Have you suffered investment losses with former UBS Advisor John Maccoll? 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 various reports, former UBS Advisor John
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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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