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May 15, 2018
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Blog, Current Investigations, Securities Fraud
Jeffrey Dragon – Berthel Fisher – Supervisory Issues – Update According to the Financial Industry Regulatory Authority (FINRA) on February 5, the regulator censured and fined Berthel, Fisher & Company Financial Services (CRD #13609, Cedar Rapids, Iowa) for supervisory issues regarding former advisor
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February 20, 2018
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Current Investigations, Securities Fraud
FBI Investigation Uncovers Investment Fraud Scheme with Jason Mininger Have you suffered losses investing with Jason Mininger and Kovack Securities? If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA arbitration claim. According to a U.S.
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February 6, 2018
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Blog
FINRA Sanctions Berthel Fisher and Former Advisor Jeffrey Dragon According to the Financial Industry Regulatory Authority (FINRA) on February 6, the regulator has sanctioned Berthel Fisher for charges of failure to supervise sales of unit investment trusts. FINRA reportedly sued Berthel Fisher along with former broker
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June 7, 2017
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Current Investigations, Securities Fraud
Hugh M. Dyson Sentenced to 48 Months Prison Did you suffer losses investing with Hugh M. Dyson? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim against the brokerage firm where he was employed. According to reports, former Ameriprise advisor Hugh M. Dyson
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April 21, 2017
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Securities Fraud
FINRA Sues Berthel Fisher and Jeffrey Dragon, former advisor According to reports, FINRA is charging Berthel Fisher with failure to supervise sales of unit investment trusts. The company, which has 350 representatives operating in 230 branch offices, is being sued along with its former broker, Jeffrey Dragon. Charges
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April 20, 2017
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Current Investigations, Securities Fraud
Ex-Merrill Lynch broker Jeffrey Kluge, pleaded guilty to two counts of bank fraud in March for swindling two banks for $8.7 million. Jeffrey Kluge, a 25-year veteran of Merrill Lynch in St. Paul, MN, created false Merrill Lynch account statements as part of the scheme to establish multi-million dollar lines of
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April 18, 2017
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Blog
Former Texas Advisor David W. Johnson Sentenced to Prison Have you suffered losses investing with David W. Johnson of Keller, TX? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim against the brokerage firm where he was employed. David W. Johnson, 57, was
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April 18, 2017
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Securities Fraud
Recovery of Investment Losses with Hossein Amirriahei Have you suffered losses investing with Hossein Amirriahei? If so, the attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim against the brokerage firm that employed him. According to FINRA, Hossein
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April 18, 2017
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Current Investigations
Recovery of Investment Losses with Andrew B. Kramer Have you suffered losses investing with Andrew B. Kramer? If so, the attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim against the brokerage firm that employed him. According to FINRA, Andrew B. Kramer
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March 29, 2017
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Blog, Securities Fraud
Recovery of Investment Losses with Daniel H. Glick Have you suffered losses investing with Daniel H. Glick (CRD #2175655, Chicago, Illinois)? If so, The White Law Group may be able to help you recover your losses through FINRA Arbitration. The Securities and Exchange Commission announced Monday an emergency asset
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