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August 12, 2022
Comments Off on Joseph Stone Broker Ross Barish Barred after Allegations of Defrauding Investors
Blog, Current Investigations, Securities Fraud
Update on the Investigation: Ross Barish, Joseph Stone Capital On August 11, 2022, the SEC issued a final judgment by consent against Ross Adam Barish (CRD #3094364) reportedly barring him from working in the securities industry. According to the SEC’s complaint, Barish allegedly defrauded sixteen retail
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August 11, 2022
Comments Off on SEC Charges Angel Oak Capital Advisors with Misleading Investors
Blog, Securities Fraud
Angel Oak Capital Advisors to pay $1.75 Million in Civil Penalties According to a press release, on Aug. 10, 2022 the Securities and Exchange Commission charged Angel Oak Capital Advisors, LLC and its portfolio manager for allegedly misleading investors about the firm’s fix-and-flip loan securitization’s
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August 5, 2022
Comments Off on Lester W. Burroughs (Chad Burroughs) Update on the Investigation
Blog, Current Investigations, Securities Fraud
Financial Advisor Lester “Chad” Burroughs Barred after Pleading Guilty of Fraud The White Law Group Continues to investigate potential securities fraud claims involving financial advisor Lester “Chad” Burroughs. In April 2020 Burroughs was reportedly found guilty of wire fraud and sentenced to 33
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August 2, 2022
Comments Off on Variable Interest Rate Structured Products – Securities Fraud Attorneys –
Blog, Securities Fraud
Variable Interest Rate Structured Products – High Risk Investments Recovery Options for Investors in Variable Interest Rate Structured Products Structured Products are a mix of traditional financial instruments, i.e., stocks and bonds with one or more elements that utilize derivatives; they are prepackaged
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July 27, 2022
Comments Off on Ausdal Financial Partners Inc. Lawsuit filed involving GWG L Bonds
Blog, Securities Fraud
The White Law Group Announces another Lawsuit Involving GWG L Bonds The White Law Group announces the filing of a FINRA arbitration claim against Ausdal Financial Partners Inc. for investment losses involving high-risk GWG L Bonds. The White Law Group submitted a claim to FINRA Dispute Resolution today on
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July 22, 2022
Comments (0)
Blog, Current Investigations, Securities Fraud
More Bad News for Investors of the Parking REIT? Have you suffered losses investing in The Parking REIT (now known as Mobile Infrastructure Corp.)? If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA Dispute Resolution claim against the brokerage
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July 19, 2022
Comments (16)
Blog, Current Investigations, Securities Fraud
Investor Alert: GWG Files Chapter 11 Bankruptcy on April 20, 2022 GWG L Bonds Investigation Update – How to Recover Financial Losses The White Law Group continues to investigate potential securities claims involving broker dealers who may have improperly recommended GWG L Bonds to investors. If you are
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July 12, 2022
Comments Off on Financial Advisor Eric Hollifield reportedly faces Fraud Charges
Blog, Current Investigations, Securities Fraud
SEC Reportedly Charges Ex- LPL Advisor Eric Hollifield with $1.7 M Fraud According to a litigation release on July 1, the SEC has charged former LPL Financial advisor Eric Hollifield (CRD#: 3091319) with allegedly misappropriating at least $1.7 million from two advisory clients and one brokerage customer and
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July 12, 2022
Comments Off on UBS Settles Fraud Charges over YES Options Trading Strategy
Blog, Current Investigations, Securities Fraud
UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy, YES (Yield Enhancement Strategy) According to The Securities and Exchange Commission on June 29, 2022, UBS Financial Services Inc. has agreed to pay approximately $25 million to settle fraud charges in connection with YES,
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June 25, 2022
Comments Off on George Merhoff Jr., Cetera Advisors, Financial Advisor Fraud Investigation
Blog, Current Investigations, Securities Fraud
Broker George Merhoff, Jr., Cetera Advisors, Klamath Falls, Oregon Former Cetera Advisor George Merhoff Jr. has 47 Customer Complaints The White Law Group continues to investigate potential securities fraud claims involving George Merhoff, Jr. and the liability his former employer Cetera Advisors may have for failure
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