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October 2, 2018
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Blog, Current Investigations, Securities Fraud
Danial Khan (aka Atiq Khan) – Transamerica – Covina, CA According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former financial advisor Danial Khan from the securities industry in a default decision on September 27, 2018. Khan was reportedly named a respondent in a
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April 23, 2018
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Blog, Current Investigations
FINRA Reportedly Bars Farid Morim, Former JP Morgan Financial Advisor According to the Financial Industry Regulatory Authority (FINRA) on February 23, the regulator has barred financial advisor Farid Morim (CRD #5023477, Los Angeles, California) from the securities industry. FINRA announced in the April 2018
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April 20, 2018
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Blog
Li-Lin Hsu -aka Yilin Hsu – Ameriprise – Los Angeles, CA – Investigation Li-Lin Hsu – 又名Yilin Hsu （徐翊绫）- 阿默普莱斯金融（Ameriprise） -加州洛杉矶-调查 According to an article on April 19 in My News LA, former Ameriprise financial advisor Li-Lin Hsu has been charged with fraud
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April 20, 2018
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Blog, Current Investigations, Securities Fraud
Li-Lin Hsu –aka Yilin Hsu – Ameriprise – Los Angeles, CA – Investigation According to an article yesterday in My News LA, former Ameriprise financial advisor Li-Lin Hsu has been charged with fraud and money laundering. Instead of investing clients’ funds as promised, Hsu allegedly used the money
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March 28, 2018
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Blog, Current Investigations, Securities Fraud
Los Angeles Advisor Timary Delorme accused of Pump- and- Dump Scheme According to a press announcement today, the Securities and Exchange Commission announced charges against Wedbush Securities Inc. for failing to supervise employee Timary Delorme. The SEC alleges that Wedbush ignored numerous red flags indicating
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October 5, 2017
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Securities Fraud
CA Investment Advisor Robert “Rusty” Tweed and Tweed Investments Charged According to a press announcement, The Securities and Exchange Commission has charged Robert “Rusty” Tweed and his company, Tweed Investment Services Inc., with fraud for allegedly issuing false and misleading account
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February 9, 2017
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Current Investigations
Concerned about investment losses with LaeRoc Income Fund 007 LP? Have you suffered investment losses in a LaeRoc Income Fund 007 LP? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. LaeRoc Funds is a real estate investment firm. According to the firm’s website,
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January 2, 2015
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Blog, Securities Fraud
FINRA recently announced that it has permanently barred Jeffrey C. McClure from the securities industry for converting nearly $89,000 from an elderly customer’s bank account while working for Wells Fargo Advisors, LLC and an affiliated bank in Chico, California. The affiliated bank has made the customer whole
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December 4, 2014
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Blog, Securities Fraud
According to a recent FINRA Disciplinary Action, Mark Foster (CRD #719105, Pasadena, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Foster failed to respond to requests from FINRA for information and documents and to appear and provide
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December 27, 2013
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Blog, Securities Fraud
According to the Securities and Exchange Commission’s website, the SEC recently announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against
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