Tag: California securities attorney
LaeRoc Fund Investigation
LaeRoc Fund Investment Losses The White Law Group is investigating potential securities fraud claims against the broker-dealers that...
Securities Regulatory Information Regarding Centaurus Financial
The following is a brief breakdown of publicly available information regarding Centaurus Financial and its securities sales practices and...
Citigroup fined by FINRA for failure to supervise a sales assistant
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $500,000 for...
Steven T. Kobayashi Charged By SEC In Securities Fraud Claims
The Securities and Exchange Commission recently charged a former financial adviser at UBS Financial Services LLC with misappropriating $3.3...
AIS Financial Expelled From Securities Industry
Investor Alert – AIS Financial A Financial Industry Regulatory Authority (FINRA) hearing panel has expelled AIS Financial, Inc., a...
Local California Counsel for FINRA Arbitrations
Local California Counsel for FINRA Arbitrations The White Law Group often serves as local counsel throughout California for out-of-state...
