Securities Fraud
Category

SG Americas to pay to Pay $3.1 Million to Settle SEC charges, featured by top securities fraud attorneys, The White Law Group June 24, 2020

SG Americas to Pay $3.1 Million to Settle SEC charges

SEC Reportedly Sanctions SG Americas for Deficient Blue Sheet Data According to a

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Whistleblower Awarded $700,000 for Providing Assistance to the SEC, featured by top securities fraud attorneys, The White Law Group June 23, 2020

Whistleblower Awarded $700,000 for Providing Assistance to the SEC

SEC Awards Almost $700,000 to Whistleblower According to a press announcement on

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FINRA Revises Rules, Raises Fees for Expungement, featured by top securities fraud attorneys, The White Law Group June 19, 2020

FINRA Revises Rules, Raises Fees for Expungement

FINRA Revises Rules, Raises Fees for Expungement Expungement Costs for Financial

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Financial Advisor Frederick Stow Reportedly Charged with Defrauding Senior Veteran, featured by top securities fraud attorneys, The White Law Group June 15, 2020

Financial Advisor Frederick Stow Reportedly Charged with Defrauding Senior Veteran

Broker Frederick Stow, Raymond James in Franklin, Tennessee The SEC alleges

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SagePoint to pay $1.3 Million in Restitution for Supervisory Issues related to Unit Investment Trusts, featured by top securities fraud attorneys, The White Law Group June 11, 2020

SagePoint Financial Censured & Fined $300,000

SagePoint to pay $1.3 Million in Restitution for Supervisory Issues related to early

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Investor Margin Trading on the Rise, featured by top securities fraud attorneys, The White Law Group June 10, 2020

Investor Margin Trading on the Rise

Broker-Dealers seeing Renewed Interest in Customer Loans due to Market Rebound and

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Financial Advisor Dee Dee Brooks Reportedly Barred from Securities Industry, featured by top securities fraud attorneys, The White Law Group June 10, 2020

Financial Advisor Dee Dee Brooks Reportedly Barred from Securities Industry

Broker Dee Dee Brooks, Signator Investors in Huntington Beach, CA Signator Investors

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SEC’s Whistleblower Program Reaches $500 Million in Total Awards, featured by top securities fraud attorneys, The White Law Group June 5, 2020

SEC’s Whistleblower Program Reaches $500 Million in Total Awards

SEC awards $50 million to one individual this week, its largest award to date.

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Hartman Short Term Income Properties XX Investigation, featured by Top Securities Fraud Attorneys, The White Law Group June 5, 2020

Hartman Short Term Income Properties XX Lowers NAV

Hartman Short Term Income Properties XX, Update on Merger Agreement Are you

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James Schwartz, Financial Advisor Investigation, featured by top securities fraud attorneys, The White Law Group June 2, 2020

James Schwartz, Financial Advisor Investigation

Financial Advisor Jim Schwartz, Aegis Capital Corp. in Melville, NY James Schwartz

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