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August 22, 2019
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Current Investigations, Securities Fraud
FINRA Investigation: Erik P. Pica – Joseph Stone Capital, New York, NY On July 22, 2019 The Financial Industry Regulatory Authority (FINRA) reportedly made a preliminary determination to recommend that disciplinary action be brought against Erik Patrick Pica (Erik Pica), alleging that he violated FINRA rules by
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August 22, 2019
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Current Investigations
CFP Board Disciplinary Action – Lloyd Dotson, Commonwealth Financial Network Are you concerned about investments with former financial advisor Lloyd Dotson? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. In May 2019, according to the CFP
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August 21, 2019
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Blog, Securities Fraud
FINRA Reportedly Sanctions CitiGroup Global for Supervisory Issues regarding UITs According to FINRA’s August Disciplinary report, on June 20, 2019, the regulator reportedly sanctioned CitiGroup Global Markets (CRD #7059, New York, NY) with a censure, a fine of $225,000.00 and customer restitution of $152,488.59
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August 21, 2019
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Blog, Current Investigations
Sanchez Energy Corp. – Reportedly Files Chapter 11 The White Law Group is investigating potential securities fraud claims involving broker dealers who may have unsuitably recommended Sanchez Energy Corp. to investors. Sanchez Energy, a Houston oil company that drilled in the Eagle Ford Shale of South Texas,
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August 20, 2019
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Blog
FINRA Sanctions Robert W. Baird & Co. Inc., Milwaukee, WI According to FINRA’s August Disciplinary report, on June 7, 2019, the regulator reportedly sanctioned Robert W. Baird & Co. Incorporated (CRD #8158, Milwaukee, Wisconsin) with a censure and fine of $150,000. Without admitting or denying the findings,
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August 20, 2019
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Current Investigations, Securities Fraud
Jeremy Joseph Drake, HCR Wealth Advisors, Los Angeles, CA Are you concerned about investments with Jeremy J. Drake in Los Angeles, CA? If so, the securities attorneys at The White Law Group may be able to help you. Drake, an investment adviser representative of HCR Wealth Advisors in Los Angeles, CA, reportedly
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August 20, 2019
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Blog, Current Investigations, Securities Fraud
Kendall J. Groom, Cetera Financial Specialists, Fresno, CA Are you concerned about investments with Kendall J. Groom in Fresno, CA? If so, the securities attorneys at The White Law Group may be able to help you. According to an SEC administrative release, the regulator has barred Groom from the securities industry for
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August 19, 2019
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Blog, Current Investigations
Financial Advisor Gregory T. Dean, Worden Capital Management Reportedly Barred from Securities Industry Are you concerned about investments with Gregory T. Dean in Rockville Center, 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
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August 19, 2019
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Current Investigations, Securities Fraud
Shawn Evan Burns, Salomon Whitney Financial in Farmingdale, New York Are you concerned about investments with Shawn Evan Burns in Farmingdale, New York? 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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August 16, 2019
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Current Investigations, Securities Fraud
SEC reportedly charges Atlanta RIA Joseph A. Meyer Jr. with fraud Are you concerned about investments with Joseph A. Meyer Jr. in Atlanta, GA? If so, the securities attorneys at The White Law Group may be able to help you. According to a press announcement on January 28,the Securities and Exchange Commission has
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