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Tag: Connecticut

Blog, Securities Fraud Articles

Gregory Buchholz Faces Sentencing for Theft

According to CBS New York, a former Connecticut securities broker, Gregory Buchholz faces sentencing for stealing more than $1.35 million...

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Blog, Securities Fraud Articles

Investigation: Raymond James financial advisor Robert Lipka

The White Law Group is investigating investment recommendations made by former Raymond James financial advisor Robert Lipka. Specifically,...

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Blog, Securities Fraud Articles

Wadsworth Investment Co., Inc. fined and censured

FINRA recently announced that Wadsworth Investment Co., Inc. and William Frederick Wadsworth of Wallingford, Connecticut have been fined...

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Blog, Securities Fraud Articles

UBS Securities LLC, based in Stanford, Connecticut, fined by FINRA.

UBS Securities LLC was recently fined $320,000 by FINRA and required to revise its written supervisory procedures regarding OATS...

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