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January 21, 2021
Comments Off on SEC Updates List of Unregistered Entities Soliciting Investors
Blog, Securities Fraud
PAUSE List adds 28 Soliciting entities, 3 Impersonators, and 6 Fake Regulators According to a press announcement today, the Securities and Exchange Commission announced that it updated its Public Alert: Unregistered Soliciting Entities (PAUSE), a list of unregistered entities that use misleading information to solicit
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January 18, 2021
Comments Off on Sterne Agee Financial Services Review – Broker Fraud, Lawsuits and Regulatory Actions
Blog, Current Investigations, Securities Fraud
The White Law Group is investigating potential securities claims involving Sterne Agee Financial Services (also known as SA Stone Wealth Management, CRD# 18456, Birmingham, AL) The firm, headquartered in Birmingham, AL, reportedly has 12 disclosure events on its broker record including 8 regulatory events, and 4
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January 6, 2021
Comments Off on First Allied Securities Review – Broker Fraud, Lawsuits and Regulatory Actions
Blog, Current Investigations, Securities Fraud
First Allied Securities Investigation The White Law Group is investigating potential securities claims involving broker dealer, First Allied Securities. (CRD#: 32444) and the liability the firm may have for failure to supervise its registered representatives. The firm, headquartered in San Diego, CA, reportedly has
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December 15, 2020
Comments Off on FINRA Cracks Down on Excessive Trading
Blog, Securities Fraud
FINRA says there will be an Increase in Excessive Trading Cases in 2021 The Financial Industry Regulatory Authority (FINRA) is cracking down on excessive trading thanks to “greater enforcement flexibility provided by Regulation Best Interest,” according to an article in Financial Advisor IQ last week. There has
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December 11, 2020
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Blog, Securities Fraud
NorthStar Healthcare Income Inc. – Bad News for Investors Have you suffered investment losses in NorthStar Healthcare Income Inc. REIT? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The White Law Group continues to investigate potential securities fraud claims
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December 4, 2020
Comments Off on Investor Alert: Pre-IPO Speculation Scams
Blog, Securities Fraud
High Risk Pre-IPO Speculation Investments “Pre-IPO” speculation involves buying unregistered shares in a private company before the initial public offering of securities. These deals are often risky, but sometimes they are also fraudulent. Securities offerings are not legal unless they are registered
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December 3, 2020
Comments Off on Oppenheimer & Co.- Broker Misconduct, Customer Complaints and Regulatory Actions
Blog, Current Investigations, Securities Fraud
The White Law Group is investigating potential securities claims involving Oppenheimer & Co. (CRD #249, New York, NY) Oppenheimer & Co., headquartered in New York, New York, is a national financial advisory firm. According to its FINRA Broker Report, the firm reportedly has 270 disclosure events on its broker
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December 3, 2020
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Blog, Securities Fraud
Securities Attorneys for Promissory Note Arbitration Cases A Promissory Note (often called an up-front forgivable loan) is commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley, Merrill Lynch, Wells Fargo Securities, Ameriprise, and UBS Financial
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December 2, 2020
Comments Off on Centaurus Financial – Broker Misconduct, Customer Complaints and Regulatory Actions
Blog, Current Investigations, Securities Fraud
The White Law Group is investigating potential securities claims involving Centaurus Financial, Inc. (CRD#: 30833, Anaheim, CA). Centaurus Financial, LLC, headquartered in Anaheim, CA, is a national financial advisory firm. The firm reportedly has 21 disclosure events on its broker record including 13 regulatory
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November 30, 2020
Comments Off on Barred Financial Advisor Edward Matthes Pleads Guilty to Fraud
Blog, Current Investigations, Securities Fraud
Edward Matthes, Mutual of Omaha, Charged with Stealing $2.6 Million from 23 Investors The White Law Group continues its investigation into potential securities fraud claims involving Edward Matthes and the liability his employers may have for failure to supervise him. Former financial advisor Edward Matthes has
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