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December 4, 2018
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Blog, Publications
Bottom Line Inc. Article on Churning On December 1, 2018, Bottom Line Inc. published an article warning consumers to be careful of brokers who excessively trade or churn customer accounts. The article, based on an interview with D. Daxton White, Managing Partner of the The White Law Group, explains how to tell if your
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August 22, 2017
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Growing problem: Unpaid Arbitration Awards According to an article in Investment News, unpaid arbitration awards are a growing problem. The article discusses a recent claim brought against the now defunct broker-dealer EDI Financial Inc. by The White Law Group. Read article here. The White Law Group is a national
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January 11, 2017
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Blog, Publications
New CEO of the Financial Industry Regulator Authority to Publish Examination Findings According to an article in Investment News, FINRA CEO Robert Cook is proposing to release a summary report of examination findings as his first initiative in his new role. See full story… The White Law Group is a national
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March 9, 2016
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A retired couple from North Carolina has filed an arbitration claim against Morgan Stanley, alleging it failed to adequately disclose the risks involved in a proprietary energy-related investment in which they’ve lost more than $100,000, according to the law firm representing them. The White Law Group filed the
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July 6, 2015
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A Wells Fargo Advisors client has asked arbitrators to recover money he says he lost investing with F-Squared Investments Inc., his lawyer said Wednesday, testing whether investors can challenge brokerage firms who sold the troubled asset manager’s products...
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April 7, 2015
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his article addresses what appears to be a growing problem and our experience in defending against it. Specifically, broker-dealers’ attempts to apply indemnification clauses in private placement subscription agreements—intended to apply solely to the sponsor of the investment—to themselves...
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November 12, 2014
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At Burt & Max’s Bar and Grille one day this summer, stockbroker Rafael Golan gave a group of elderly people a financial seminar. After his hourlong talk on topics from real estate to annuities, the free food arrived...
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November 11, 2014
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Atlas Energy LP has a deal for investors eager to get in on the U.S. energy boom: Contribute at least $25,000 in a partnership that will drill for oil and gas in Texas, Ohio, Oklahoma and Pennsylvania and then share any revenue from the wells’ output...
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September 17, 2014
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Publications
Ron Vaerewyck was making his way through the convention floor at the annual World Money Show in Orlando, Fl, in February 2008 when he stopped by the booth of Reef Securities of Richardson, Tex.
The brochures for Reef’s private placements in the energy industry showed an impressive track record.
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April 19, 2014
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Financial Professionals are like any profession – there are good ones and there are bad ones. As long as financial advisors are compensated by commissions, some of the unscrupulous ones will continue to attempt to enrich themselves by excessively trading accounts...
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