-
February 14, 2019
Comments (0)
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
Read More »
-
February 14, 2019
Comments (0)
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
Read More »
-
January 25, 2019
Comments (0)
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
Read More »
-
January 25, 2019
Comments (0)
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
Read More »
-
January 21, 2019
Comments (0)
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
Read More »
-
January 17, 2019
Comments (0)
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
Read More »
-
January 15, 2019
Comments (0)
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
Read More »
-
January 15, 2019
Comments (0)
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
Read More »
-
January 2, 2019
Comments (0)
Blog, Current Investigations, Securities Fraud
Concerned about your investments with Jerry Wayne Simpson? According to news reports, between March 2016 and October 2017, former financial advisor Jerry Wayne Simpson allegedly stole $400,000 from his clients. According to the indictment, Simpson allegedly forged a clients’ name on paperwork requesting to have
Read More »
-
January 2, 2019
Comments (0)
Blog, Current Investigations, Securities Fraud
John Greg Schmidt – Securities Fraud Investigation According to news reports last week, former financial advisor John Greg Schmidt was indicted on 128 felony counts and is reportedly incarcerated in Montgomery County Jail, in Dayton, Ohio. Schmidt was reportedly working at Schmidt Investment Strategies Group
Read More »
