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October 7, 2019
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Blog, Current Investigations
Financial Advisor James M. Lamont, Whitehall-Parker Securities in San Francisco, CA Are you concerned about investments with James M. Lamont in San Francisco, CA? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. According to the Financial
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October 7, 2019
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Blog
FINRA Sanctions C. L. King & Associates Inc., Albany, New York According to the public records on the Financial Industry Regulatory Authority’s (FINRA) website, on October 2, 2019, the regulator reportedly sanctioned C. L. King & Associates Inc. (CRD #6183, Albany, New York) with a censure and a $292,000
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October 7, 2019
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Blog, Current Investigations
Financial Advisor Benjamin Lowder Jr., MSI Financial Services in Charlotte, NC Are you concerned about investments with Benjamin Lowder Jr. in Charlotte, NC? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. According to the Financial Industry
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October 7, 2019
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Blog, Current Investigations
Concerned about your investment in FSEP? Are you concerned about your investment in FSEP (FS Energy & Power Fund)? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. FSEP (FS Energy & Power Fund) is a publicly registered, non-traded
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October 7, 2019
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Blog
The White Law Group announces the filing of a FINRA Lawsuit against Regal Securities & First Allied Securities The White Law Group announces filing of a FINRA Arbitration lawsuit today. The claim, submitted on behalf of a Palm Desert, California resident, alleges claims for violation of common law fraud, breach of
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October 1, 2019
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Blog
Is a Regulation A Investment Offering right for you? Regulation A allows investors to buy securities in smaller companies in earlier stages of development. These early –stage companies are able to offer and sell unregistered securities to the public, but with more limited disclosure requirements than what is
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October 1, 2019
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Blog, Current Investigations
Healthcare Trust Inc. (HTI) – Illiquid Investment If your financial advisor unsuitably recommended investing in Healthcare Trust Inc. (HTI), and you incurred losses, you may be able to recover your losses by filing a FINRA Arbitration claim. Healthcare Trust Inc., formerly known as ARC Healthcare Trust II, is a
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September 30, 2019
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Blog
FINRA Sanctions J.P. Morgan Securities for Failure to Disclose Broker Misconduct According to a press announcement, on September 16, 2019, the Financial Industry Regulatory Authority (FINRA) reportedly fined J.P. Morgan Securities $1.1 million for allegedly failing to disclose broker misconduct in a timely manner.
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September 30, 2019
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Blog
Cetera Investment Advisers Sanctioned for Solicitation Disclosure Violations Cetera Investment Advisers LLC will reportedly pay a penalty of $185,000 to settle SEC charges that it allegedly paid cash fees to approximately 350 banks to solicit investment advisory clients on behalf of the firm without providing proper
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September 30, 2019
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Blog
SmartStop Self Storage REIT -Tender offer price could mean losses for investors. Are you concerned about your investment in SmartStop Self Storage REIT? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the
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