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October 14, 2019
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Blog, Current Investigations
Financial Advisor Michael H. Siva, Morgan Stanley in Morristown, NJ Are you concerned about investments with Michael H. Siva in Morristown, NJ? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. In an SEC order on October 8, the SEC reportedly
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October 14, 2019
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Blog, Current Investigations
Financial Advisor Stephen J. Klinger, Wells Fargo in Asheville, NC Are you concerned about investments with Stephen J. Klinger (Steve Klinger) in Ashville, 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 11, 2019
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Blog, Current Investigations
Financial Advisor Dain F. Stokes, LPL Financial in Bedford, NH Are you concerned about investments with Dain F. Stokes in Bedford, NH? 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 news reports today, New Hampshire’s Bureau
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October 7, 2019
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Blog, Current Investigations
FINRA Sanctions UBS Financial Services involving Municipal short positions According to the public records on FINRA’s website, on October 2, 2019, the regulator reportedly sanctioned UBS Financial Services with a censure and a $2,000,000 fine for “repeated failures” with representing municipal short positions in
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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, 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 2, 2019
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Current Investigations
SEC Settles Charges for Mutual Fund Disclosure Failures According to a press announcement on Sept. 30, the Securities and Exchange Commission reportedly settled charges against 17 investment advisers for disclosure failures regarding their mutual fund share class selection practices. The firms include 16 advisers that
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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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Current Investigations, Securities Fraud
Financial Advisor Marty Batstone, Independent Financial Group in San Diego, CA Are you concerned about investments with Marty Batstone in San Diego, 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 public disclosures on
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