-
September 17, 2019
Comments (0)
Current Investigations, Securities Fraud
Stifel Nicholas & BMO Capital Markets Sanctioned for Reportedly Providing Deficient Blue Sheet Data According to press announcement on September 16, two broker dealers, Stifel, Nicolaus & Co., Inc. and BMO Capital Markets Corp. have agreed to settle charges for providing incomplete and inaccurate securities
Read More »
-
September 16, 2019
Comments (0)
Current Investigations, Securities Fraud
Jack D. Stone, Forest Securities in Hillside, IL Are you concerned about investments with Jack D. Stone in Hillside, IL? 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 Authority (FINRA), the
Read More »
-
September 9, 2019
Comments (0)
Current Investigations, Securities Fraud
Shawn Bruce Davis, Independent Financial Group in Auburn, CA Are you concerned about investments with Shawn Bruce Davis in Auburn, 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 a civil action brought in the Superior Court of
Read More »
-
September 5, 2019
Comments (0)
Securities Fraud
FINRA Lawsuit Filed Against Independent Financial Group over Investment Losses The White Law Group announces the filing of a FINRA arbitration claim against Independent Financial Group involving high risk private placement investments. The claim, filed by The White Law Group, was submitted to FINRA Dispute Resolution
Read More »
-
August 30, 2019
Comments (0)
Current Investigations, Securities Fraud
Investigating Potential Lawsuits – uBiome Inc. Are you concerned about your investment in uBiome Inc.? If so, the securities attorneys at The White Law Group may be able to help you by filing aFINRA Arbitration claim against the brokerage firm that sold you the investment. The company was reportedly founded in
Read More »
-
August 27, 2019
Comments (0)
Blog, Current Investigations, Securities Fraud
Collateral Yield Enhancement Strategy (CYES) Lawsuits Have you suffered losses investing in an options-based investment strategy, Collateral Yield Enhancement Strategy (CYES), sold by broker-dealers such as Morgan Stanley and Merrill Lynch? If so, the securities attorneys at The White Law Group may be able to help you
Read More »
-
August 23, 2019
Comments (0)
Current Investigations, Securities Fraud
Kevin R. Graetz, Paulson Investment Company, New York, NY Are you concerned about investments with Kevin R. Graetz in New York, New York? 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 Authority
Read More »
-
August 22, 2019
Comments (0)
Current Investigations, Securities Fraud
FINRA Investigation: Erik P. Pica – Joseph Stone Capital, New York, NY On July 22, 2019 The Financial Industry Regulatory Authority (FINRA) reportedly made a preliminary determination to recommend that disciplinary action be brought against Erik Patrick Pica (Erik Pica), alleging that he violated FINRA rules by
Read More »
-
August 21, 2019
Comments (0)
Blog, Securities Fraud
FINRA Reportedly Sanctions CitiGroup Global for Supervisory Issues regarding UITs According to FINRA’s August Disciplinary report, on June 20, 2019, the regulator reportedly sanctioned CitiGroup Global Markets (CRD #7059, New York, NY) with a censure, a fine of $225,000.00 and customer restitution of $152,488.59
Read More »
-
August 21, 2019
Comments (0)
Current Investigations, Securities Fraud
Have you suffered losses investing in GPB Holdings II LP with McDonald Partners LLC? If you are concerned about investment losses in GPB Holdings II LP with McDonald Partners LLC, the securities attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim
Read More »
