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December 14, 2018
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Blog, Current Investigations
Broker Investigation – Christopher C. Hellman – Merrill Lynch – Boca Raton, FL According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former advisor Christopher C. Hellman from the securities industry for failure to provide information in an investigation. According
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December 14, 2018
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Blog, Current Investigations
FINRA Examination Findings: firms need to tighten up supervisory systems. Last Friday, the Financial Industry Regulatory Authority announced examination findings that many brokerage firms have been recommending unsuitable investments without considering the impact that cumulative fees, sales charges and commissions
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December 7, 2018
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Blog, Current Investigations
NorthStar Healthcare Income Inc. – Decreases Estimated Net Asset Value (NAV) According to filings with the SEC, on December 4, 2018, NorthStar Healthcare Income Inc. (NHI) announced an estimated NAV per share of $7.10 as of June 30, 2018. This is a reduction of approximately 16.5% from the previous NAV per share of
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December 5, 2018
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Blog, Current Investigations
Cole Office & Industrial REIT New Tender Price $7.51/share According to SEC filings on November 18, 2018, CMG Partners, Inc. has launched a third-party mini tender offer to purchase up to 275,000 Class A shares of Cole Office & Industrial REIT, Inc.’s common stock for $7.51 per share. Unfortunately for
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December 5, 2018
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Blog, Current Investigations, Securities Fraud
David Fagenson Accused by FINRA of Churning Client Accounts According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended former UBS broker, David Fagenson, for alleged excessive trading in elderly client accounts. According to a Letter of Acceptance, Waiver and Consent, from January
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December 4, 2018
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Blog, Current Investigations
Mitchell Kurtz – Henley & Company – Roslyn Heights, New York According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor Mitchell Kurtz (CRD# 2437746) from associating with any FINRA member at any time. Without admitting or denying the findings, Kurtz
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December 4, 2018
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Blog, Current Investigations, Securities Fraud
Ralph VonLutzow – Oberweis Securities – Sarasota, FL According to the Financial Industry Regulatory Authority (FINRA) on December 3, 2018, the regulator has barred former financial advisor Ralph VonLutzow from associating with any FINRA member at any time. From October 2012 through January 2014, while
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December 1, 2018
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Current Investigations, Securities Fraud
The White Law Group announces an investigation into gold/silver/platinum and palladium futures losses. Did you invest in gold, silver, platinum, or palladium futures between January 2009 and December 2015? If you suffered losses investing in gold/silver/platinum and palladium futures, the White Law Group may be able
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November 30, 2018
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Blog, Current Investigations, Securities Fraud
Broker Investigation – Scott Newsholme The White law Group is continuing its investigation into former financial advisor Scott Newsholme. According to reports last week, New Jersey broker Scott Newsholme was sentenced on November 20 to eight-and-half years in prison for allegedly defrauding clients out of more
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November 28, 2018
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Blog, Current Investigations, Securities Fraud
Securities Fraud Investigation – Frank Dietrich – Woodbridge Group Have you suffered losses investing with Frank Dietrich and Woodbridge Group of Companies? If so, the securities attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA arbitration claim against his
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