-
July 19, 2019
Comments (0)
Blog, Current Investigations
Thomas J. Marino – RM Stark & Co. – Delray Beach, Florida Are you concerned about your investments with Thomas J. Marino in Delray Beach, FL? 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 Regulatory
Read More »
-
July 19, 2019
Comments (0)
Blog, Current Investigations
56 Settlements with Member Firms & $89 Million in Restitution According to a press announcement on Wednesday, the Financial Industry Regulatory Authority (FINRA) has reached settlements with 56 member firms and obtained a total of $89 million in restitution for nearly 110,000 charitable and retirement accounts as
Read More »
-
July 19, 2019
Comments (0)
Blog, Current Investigations, Securities Fraud
Sampson Pearson – Northwestern Mutual Investment Services – Charlotte, NC Are you concerned about your investments with Sampson Pearson 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 an article in the
Read More »
-
July 17, 2019
Comments (0)
Blog, Current Investigations
AR Capital & Execs Settle SEC Charges for $60 Million According to a press announcement yesterday, the Securities and Exchange Commission charged AR Capital LLC, its founder Nicholas S. Schorsch, and its former CFO Brian Block with wrongfully extracting millions of dollars in connection with two separate mergers
Read More »
-
July 11, 2019
Comments (0)
Current Investigations
Financial Advisor Jeffrey Blutstein & Kestra Investment Services Are you concerned about your investments with Jeffrey Blutstein of Elmsford, New York? If so, the securities attorneys at the White Law Group may be able to help you. According to a Letter of Acceptance Waiver and Consent, the Financial Industry
Read More »
-
July 10, 2019
Comments (0)
Current Investigations, Securities Fraud
SEC Reportedly Bars Transamerica Financial Advisor Pedro Luis Gonzalez-Seijo for Allegedly Stealing from Clients Are you concerned about your dealings with Pedro Luis Gonzalez-Seijo? If so, the securities attorneys at the White Law Group may be able to help you. According to an SEC administrative order on July 5, the
Read More »
-
July 9, 2019
Comments (0)
Blog, Current Investigations, Securities Fraud
Brenda Ann Smith – CV Brokerage – Private Securities Transactions Are you concerned with investments made with former financial advisor Brenda Ann Smith & CV Brokerage? If so, the securities attorneys at The White Law Group may be able to help you. According to a Letter of Acceptance, Waiver &
Read More »
-
July 8, 2019
Comments (0)
Blog, Current Investigations
Kerry Lee Hoffman, Former LPL Financial Broker Reportedly Charged with Securities Fraud Are you concerned about your investments with Kerry Hoffman and LPL Financial? If so, the securities attorneys at The White Law Group may be able to help you. The Securities and Exchange Commission has reportedly charged former LPL
Read More »
-
July 3, 2019
Comments (0)
Blog, Current Investigations
Former Summit Brokerage Advisor Christopher S. Jorgensen Barred Are you concerned about your investments with Christopher S. Jorgensen? If so, the securities attorneys at The White Law Group may be able to help you through FINRA Arbitration. According to the Financial Industry Regulatory Authority (FINRA), the
Read More »
-
July 2, 2019
Comments (0)
Blog, Current Investigations
Summit to pay Restitution to Customers for Excessive Trades According to a press announcement on Tuesday, the Financial Industry Regulatory Authority (FINRA) announced that it has sanctioned Summit Brokerage Services, Inc. for supervisory failures. The firm will reportedly be fined a total amount exceeding $880,000
Read More »
