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February 15, 2019
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Blog, Current Investigations, Securities Fraud
Broker Investigation – Floyd Earl Powell – Albertville, AL According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor Floyd Earl Powell from associating with any FINRA member at any time. FINRA states in a Letter of Acceptance, Wavier &
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February 15, 2019
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Blog, Current Investigations, Securities Fraud
Hector May – Securities America – Recovery of Investment Losses According to reports yesterday, the Securities and Exchange Commission has barred former Securities America broker Hector May for allegedly running a $7.9 million Ponzi scheme with his daughter who served as the controller of his investment advisory
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February 14, 2019
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Blog, Current Investigations, Securities Fraud
Tom Buck Sentenced to 3 1/2 Years in Prison. According to reports, Thomas Buck, a former Merrill Lynch advisor who previously pled guilty to overcharging his clients excessive commissions was sentenced to almost three-and-a-half years in prison yesterday. Not only did Buck previously plead guilty 13 months ago but the
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February 14, 2019
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Blog, Current Investigations, Securities Fraud
Former UBS Advisor John MacColl Sentenced over Alleged Embezzlement Have you suffered investment losses with former UBS Advisor John Maccoll? 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 various reports, former UBS Advisor John
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January 25, 2019
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Current Investigations, Securities Fraud
Kristian M. Gaudet – Ameritas Investment Corp. – Cut Off, LA According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former financial advisor Kristian M. Gaudet from associating with any FINRA member at any time. According to the Letter of Acceptance, Waiver and
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January 25, 2019
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Blog, Securities Fraud
FINRA warns about online platforms and other issues affecting investors The Financial Industry Regulatory Authority (FINRA) is a not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. In FINRA’s most recent annual
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January 21, 2019
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Blog, Securities Fraud
Press Release: The White Law Group files a FINRA Claim against NYLIFE Securities alleging unsuitable investments in Future Income Payments & Woodbridge. The FINRA claim was filed on January 4, 2019 by The White Law Group and submitted on behalf of an Indiana resident alleging claims for violation of common law
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January 17, 2019
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Blog, Current Investigations, Securities Fraud
Merrill Lynch Advisor Thomas Buck (Tom Buck) According to reports this week, federal prosecutors are asking a judge to impose a 78-month prison sentence on Thomas Buck, the former Merrill Lynch broker who in 2018 pled guilty to one count of securities fraud and agreed to pay a $5 million penalty. Buck’s sentencing
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January 15, 2019
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Blog, Securities Fraud
“Selling Away” – Can FINRA brokerage firm’s be held responsible for the investment losses incurred on investments sold directly by their agent/advisor to the client even if the investment was not authorized by the firm? The following is a brief discussion on what has become known as “selling
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January 15, 2019
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Blog, Securities Fraud
How is the Government Shutdown Affecting the SEC? As you surely know by now, thousands of workers have been furloughed as a result of the U.S. government shutdown on December 22. All “nonessential” functions have been paused as President Donald Trump and congressional leaders try to reach an agreement. The
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