Securities Fraud
Category

FINRA may Tighten Senior Exploitation Rule, featured by top securities fraud attorneys, The White Law Group October 15, 2020

FINRA may Tighten Senior Exploitation Rule 

The Financial Industry Regulatory Authority’s revised rule would extend a

Read article

Former Financial Planner Gerald Eaton Pleads Guilty to Fraud, featured by top securities fraud attorneys, The White Law Group October 2, 2020

Former Financial Planner Gerald Eaton Pleads Guilty to Fraud

Gerald Eaton, Commonwealth Financial Network, Acton, MA  Authorities Allege Gerald

Read article

Michael Cohn, Ex-GPB Capital Exec pleads guilty to stealing SEC info, featured by top securities fraud attorneys, The White Law Group September 9, 2020

Michael Cohn, Ex-GPB Capital Exec Pleads Guilty to Stealing SEC...

GPB Capital Update on Investigation According to reports yesterday, Michael Cohn,

Read article

Wells Fargo to pay $1.4 M in Restitution for Failure to Supervise VA Switches, featured by top securities fraud attorneys, The White Law Group September 4, 2020

Wells Fargo to pay $1.4 M in Restitution for Failure...

FINRA Sanctions Wells Fargo for Failure to Supervise VA Switches According to the

Read article

Broker Matthew O. Clason Charged with Stealing Client’s Funds, featured by top securities fraud attorneys, The White Law Group September 1, 2020

Broker Matthew O. Clason Charged with Stealing Client’s Funds

Matthew O. Clason, LPL Financial, Glastonbury, CT SEC Charges Matthew Clason with

Read article

Broker Mark Boucher Charged with Defrauding $2.2 Million from Clients, featured by top securities fraud attorneys, The White Law Group August 28, 2020

Broker Mark Boucher Charged with Defrauding $2.2 Million from Clients

Mark Boucher, Strategic Wealth Advisor Group Services Inc., Carlsbad, CA SEC

Read article

FINRA Warns of Fake Broker Sites, featured by top securities fraud attorneys, The White Law Group August 26, 2020

FINRA Warns of Fake Broker Sites

FINRA Alert Warns of Fake Websites using Brokers’ Names Not long after an

Read article

Broker Ross Barish Reportedly Charged with Fraud, featured by top securities fraud attorneys, The White Law Group August 14, 2020

Broker Ross Barish Reportedly Charged with Fraud

Ross Barish, Joseph Stone Capital, Mineola, NY SEC Reportedly Charges Ross Barish

Read article

Morgan Stanley hit with $950,000 for Failure to Supervise, featured by top securities fraud attorneys, The White Law Group August 14, 2020

Morgan Stanley hit with $950,000 for Failure to Supervise

FINRA sanctions Morgan Stanley after broker allegedly churns customer accounts.

Read article

FINRA Alert: Beware of Fake FINRA Domain and Potential Malware, featured by top securities fraud attorneys, The White Law Group August 13, 2020

FINRA Alert: Beware of Fake FINRA Domain and Potential Malware

FINRA warns member firms of imposter website, www.finnra.org (please notice the

Read article