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March 8, 2019
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Blog, Current Investigations, Securities Fraud
Former Advisor Richard Cody Sentenced for Fraud Charges According to reports today, former investment advisor Richard Cody was sentenced earlier this week in federal court in Boston for deceiving his former clients concerning the management of their retirement savings as well as lying to the U.S. Securities and
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March 5, 2019
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Blog, Current Investigations, Securities Fraud
John Gregory Schmidt to Pay $1.1 Million for Fraud Charges Have you suffered losses investing with John Gregory Schmidt? If so, the securities fraud attorneys at The White Law Group may be able to help you by filing a FINRA arbitration claim. According to a press release, Securities and Exchange Commission (SEC)
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March 5, 2019
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Blog, Current Investigations, Securities Fraud
Financial Advisor William Gennity worked for 10 Firms in 13-Year Career Have you suffered losses investing with financial advisor William Gennity? If so, the securities fraud attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage
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February 22, 2019
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Blog, Current Investigations, Securities Fraud
Former Financial Advisor John W. Spach, Kestra Investment Services, Barred According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former Kestra financial advisor John W. Spach from associating with any FINRA member at any time. A Letter of Acceptance Waiver & Consent posted on
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February 21, 2019
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Blog, Current Investigations, Securities Fraud
Thomas Riquier Barred -United Planners, Censured & Fined $100,000 According to news reports yesterday, Massachusetts Secretary of State William Galvin announced that financial advisor Thomas Riquier has been censured, fined $50,000, barred from registering as an investment adviser or broker-dealer, and ordered to
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February 20, 2019
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Blog, Current Investigations, Securities Fraud
Farmer’s Financial Solution Advisor Kirk J. Bertsch Barred According to the Financial Industry Regulatory Authority (FINRA) on Friday, the regulator has barred Kirk J. Bertsch from associating with any FINRA member at any time. In October 2017, Bertsch allegedly solicited an investor to purchase a promissory note
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February 20, 2019
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Blog, Current Investigations, Securities Fraud
10 Worst Performing Marijuana Stocks in 2018 Marijuana stocks reportedly failed to deliver in 2018, despite numerous milestones seen across this growing industry- the Farm Bill, legalizing hemp and hemp-based cannabidiol oil in the U.S, were all signed into law allowing for legal growth in the industry. Further, the
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February 19, 2019
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Blog, Current Investigations, Securities Fraud
Carson Wealth & Ron Carson Face $500K Claim for Alleged Overcharges According to recent reports, Carson Wealth Management is facing a $500,000 arbitration claim accusing it of overcharges. A client reportedly alleges that Ron Carson, head of Carson Wealth, improperly notified a product sponsor that the client
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February 15, 2019
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Blog, Current Investigations, Securities Fraud
Broker Investigation – Floyd Earl Powell – Albertville, AL According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor Floyd Earl Powell from associating with any FINRA member at any time. FINRA states in a Letter of Acceptance, Wavier &
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February 15, 2019
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Blog, Current Investigations, Securities Fraud
Hector May – Securities America – Recovery of Investment Losses According to reports yesterday, the Securities and Exchange Commission has barred former Securities America broker Hector May for allegedly running a $7.9 million Ponzi scheme with his daughter who served as the controller of his investment advisory
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