• Investor Alert: GPB Cars 12 LLC

    Investor Alert: GPB Cars 12 LLC, featured by top securities fraud attorneys, The White Law Group

    July 8, 2020 Comments Off on Investor Alert: GPB Cars 12 LLC Blog, Current Investigations, Securities Fraud

    GPB Capital Entities GPB Cars 12, LLC, GPB 5 LLC and GPB 8 LLC Receive Millions in Forgivable Fed loans Have you suffered losses investing in GPB Cars 12 LLC, GPB 5 LLC or GPB 8 LLC? If so the securities attorneys at the White Law Group may be able to file a complaint against …

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  • Cadaret Grant & Co. Censured & Fined $200K for Failure to Supervise

    Cadaret Grant Censured & Fined $200K for Failure to Supervise, featured by top securities fraud attorneys, The White Law Group

    July 8, 2020 Comments Off on Cadaret Grant & Co. Censured & Fined $200K for Failure to Supervise Blog, Current Investigations, Securities Fraud

    FINRA Sanctions Cadaret Grant for Ex-rep’s Alleged Ponzi-scheme According to The Financial Industry Regulatory Authority (FINRA) on Monday, the regulator has fined broker-dealer Cadaret Grant $200,000, alleging the firm failed to reasonably supervise a former broker in connection with a purported Ponzi-scheme.

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  • GPB Capital Holdings: Takes Millions in Loans from the Fed

    GPB Capital Holdings: Takes Millions in Loans from the Fed, featured by top securities fraud attorneys, The White Law Group

    July 7, 2020 Comments Off on GPB Capital Holdings: Takes Millions in Loans from the Fed Blog, Current Investigations, Securities Fraud

    GPB Capital – Update on Investigation The White Law Group continues to investigate potential securities fraud claims involving broker dealers who may have unsuitably recommended GPB Capital offerings to investors. According to Investment News today, GPB Capital has received between $3 million to $7 million in

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  • SG Americas to Pay $3.1 Million to Settle SEC charges

    SG Americas to pay to Pay $3.1 Million to Settle SEC charges, featured by top securities fraud attorneys, The White Law Group

    June 24, 2020 Comments Off on SG Americas to Pay $3.1 Million to Settle SEC charges Blog, Securities Fraud

    SEC Reportedly Sanctions SG Americas for Deficient Blue Sheet Data According to a press announcement on June 24, 2020, the Securities and Exchange Commission settled charges against broker-dealer SG Americas Securities LLC for allegedly failing to provide complete and accurate securities trading information known as

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  • Whistleblower Awarded $700,000 for Providing Assistance to the SEC

    Whistleblower Awarded $700,000 for Providing Assistance to the SEC, featured by top securities fraud attorneys, The White Law Group

    June 23, 2020 Comments Off on Whistleblower Awarded $700,000 for Providing Assistance to the SEC Blog, Securities Fraud

    SEC Awards Almost $700,000 to Whistleblower According to a press announcement on June 19, 2020, the Securities and Exchange Commission announced an award of close to $700,000 to a whistleblower for  information that led the  regulator to return money to harmed investors. The whistleblower contacted the SEC after

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  • FINRA Revises Rules, Raises Fees for Expungement

    FINRA Revises Rules, Raises Fees for Expungement, featured by top securities fraud attorneys, The White Law Group

    June 19, 2020 Comments Off on FINRA Revises Rules, Raises Fees for Expungement Blog, Securities Fraud

    FINRA Revises Rules, Raises Fees for Expungement Expungement Costs for Financial Advisors is going up. According to reports this week, the Securities and Exchange Commission has approved FINRA’s rule proposal that would establish a minimum fee of several thousand dollars for broker requests to clear their records of

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  • Financial Advisor Frederick Stow Reportedly Charged with Defrauding Senior Veteran

    Financial Advisor Frederick Stow Reportedly Charged with Defrauding Senior Veteran, featured by top securities fraud attorneys, The White Law Group

    June 15, 2020 Comments Off on Financial Advisor Frederick Stow Reportedly Charged with Defrauding Senior Veteran Blog, Current Investigations, Securities Fraud

    Broker Frederick Stow, Raymond James in Franklin, Tennessee The SEC alleges Frederick Stow Stole close to $1 Million from two Seniors  According to a press announcement on June 12, 2020,  the U.S. Securities and Exchange Commission is reportedly charging broker Frederick Stow of Franklin, Tennessee with allegedly

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  • SagePoint Financial Censured & Fined $300,000

    SagePoint to pay $1.3 Million in Restitution for Supervisory Issues related to Unit Investment Trusts, featured by top securities fraud attorneys, The White Law Group

    June 11, 2020 Comments Off on SagePoint Financial Censured & Fined $300,000 Blog, Securities Fraud

    SagePoint to pay $1.3 Million in Restitution for Supervisory Issues related to early UIT rollovers According to the Financial Industry Regulatory Authority (FINRA) today, SagePoint Financial (CRD #133763, Phoenix, AZ) was censured and fined $300,000 and ordered to pay restitution to customers in the amount of

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  • Investor Margin Trading on the Rise

    Investor Margin Trading on the Rise, featured by top securities fraud attorneys, The White Law Group

    June 10, 2020 Comments Off on Investor Margin Trading on the Rise Blog, Securities Fraud

    Broker-Dealers seeing Renewed Interest in Customer Loans due to Market Rebound and Low Interest Rates According to news reports this week, financial organizations are seeing an upward trend in margin loans with wealth management customers, despite significant losses that some may have suffered earlier this year. An

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  • Financial Advisor Dee Dee Brooks Reportedly Barred from Securities Industry

    Financial Advisor Dee Dee Brooks Reportedly Barred from Securities Industry, featured by top securities fraud attorneys, The White Law Group

    June 10, 2020 Comments Off on Financial Advisor Dee Dee Brooks Reportedly Barred from Securities Industry Blog, Current Investigations, Securities Fraud

    Broker Dee Dee Brooks, Signator Investors in Huntington Beach, CA Signator Investors Advisor Reportedly Barred after Allegations of FIP & Woodbridge Recommendations According to disclosures on the Financial Industry Regulatory Authority (FINRA) website on June 9, the regulator has reportedly barred financial

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