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January 15, 2019
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Blog, Securities Fraud
“Selling Away” – Can FINRA brokerage firm’s be held responsible for the investment losses incurred on investments sold directly by their agent/advisor to the client even if the investment was not authorized by the firm? The following is a brief discussion on what has become known as “selling
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January 15, 2019
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Blog, Securities Fraud
How is the Government Shutdown Affecting the SEC? As you surely know by now, thousands of workers have been furloughed as a result of the U.S. government shutdown on December 22. All “nonessential” functions have been paused as President Donald Trump and congressional leaders try to reach an agreement. The
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January 2, 2019
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Blog, Current Investigations, Securities Fraud
Concerned about your investments with Jerry Wayne Simpson? According to news reports, between March 2016 and October 2017, former financial advisor Jerry Wayne Simpson allegedly stole $400,000 from his clients. According to the indictment, Simpson allegedly forged a clients’ name on paperwork requesting to have
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January 2, 2019
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Blog, Current Investigations, Securities Fraud
John Greg Schmidt – Securities Fraud Investigation According to news reports last week, former financial advisor John Greg Schmidt was indicted on 128 felony counts and is reportedly incarcerated in Montgomery County Jail, in Dayton, Ohio. Schmidt was reportedly working at Schmidt Investment Strategies Group
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December 27, 2018
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Blog, Current Investigations, Securities Fraud
Stifel Nicolaus & Co to pay $300,000 for Alleged Scheme According to reports, Massachusetts’ regulators led by Secretarty of State William Galvin, has gone after the broker-dealer Stifel, Nicolaus & Co. and an investment advisor with whom the firm had a deal to handle all his clients’ trading.
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December 21, 2018
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Blog, Current Investigations, Securities Fraud
Cetera Advisor Networks According to the Financial Industry Regulatory Authority (FINRA), the regulator has fined Cetera Advisor Networks $700,000 and ordered $691,800 in customer restitution in connection with excessive trades, also known as “how” in the securities industry. Cetera Advisor Networks must
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December 21, 2018
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Blog, Current Investigations, Securities Fraud
Concerned about your investment in a GPB Capital Holdings offering? According to Investment News on Tuesday, both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have recently launched investigations into broker dealers who have sold private placement offerings from
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December 17, 2018
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Blog, Current Investigations, Securities Fraud
Hector May – Securities America – Securities Fraud Investigation According to reports on December 13, New York financial advisor Hector May pleaded guilty to federal charges for allegedly stealing more than $11 million from his clients. May, of Orangeburg, New York, reportedly pleaded guilty to conspiracy to
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December 15, 2018
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Blog, Current Investigations, Securities Fraud
Securities Investigation – USA Barcelona Realty Advisors Are you concerned about your investment in USA Barcelona Realty Advisors LLC? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. In
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December 13, 2018
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Blog, Securities Fraud
The White Law Group announces the filing of a FINRA Arbitration claim against Capital Financial Services, Inc. The White Law Group filed and submitted the FINRA claim on behalf of a group of unsophisticated retirees residing in Minnesota and North Dakota alleging claims for violation of common law fraud, breach of
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