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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 22, 2019
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Blog, Current Investigations
Rock Hill Associates LP Secondary Market Offer Are you concerned about your investment in Rock Hill Associates LP? If so the securities attorneys at The White Law Group may be able to help you by filing a FINRA Resolution Claim against the brokerage firm that sold you the investment. According to an announcement in
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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 21, 2019
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Blog, Current Investigations
Hi-Crush Partners LP Investment Losses Have you suffered losses investing in Hi-Crush Partners LP? If so, the securities attorneys of The White Law Group may be able to help you by filing a FINRA Resolution Claim against the brokerage firm that sold you the investment. Hi-Crush Partners LP, together with its
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February 21, 2019
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Blog, Current Investigations
Inland Residential Properties Trust Are you concerned about your investment in Inland Residential Properties Trust? If so the securities attorneys at The White Law Group may be able to help you by filing a FINRA Resolution Claim against the brokerage firm that sold you the investment. Chicago-based Inland Real Estate
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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 19, 2019
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Blog, Current Investigations
Kestra Financial fined $225,000, will repay $1.9 Million to investors. According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Kestra Financial $225,000 and is required to pay $1.9 million in restitution for allegedly overcharging more than 3,200 mutual fund investors
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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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