-
May 30, 2018
Comments (0)
Blog, Securities Fraud
How can I tell if there is excessive trading or churning in my investment account? Churning is when a broker engages in excessive buying and selling (i.e., trading) of securities in a customer’s account without considering the customer’s investment goal, and primarily to generate commissions that benefit the
Read More »
-
May 4, 2017
Comments (0)
Securities Fraud
Barclays Capital Failure to Supervise According to an SEC press announcement this week, Barclays Capital will pay more than $16.5 million as part of a settlement due to allegations that the company did not properly supervise two of its former mortgage bond traders. Two former Barclays Capital residential
Read More »
-
March 30, 2017
Comments (0)
Current Investigations
FINRA Denies Expungement Request of Ex-Broker Kathleen J. Tarr According to reports, former independent broker Kathleen J. Tarr’s bid to expunge a customer’s complaint about allegedly unsuitable sales of privately-traded REIT sales from her regulatory record was denied last week. The Financial Industry
Read More »
-
September 21, 2011
Comments (0)
Blog, Securities Fraud
Informational video on Churning fraud (excessive trading) Churning fraud is defined as an unethical practice employed by some financial advisors to increase their commissions by excessively trading in a client’s account. This practice violates various FINRA Rules and is often referred to as “churn and burn”,
Read More »
-
August 30, 2011
Comments (0)
Blog, Securities Fraud
As a national securities litigation law firm and investor protection advocate, the firm sees all types of securities fraud. The firm has put together a top 10 list of the most common types of securities fraud to come through the firm’s offices. #10 – Insider Trading – Brokers sometimes recommend trades
Read More »
-
November 30, 2010
Comments (0)
Blog, Securities Fraud
If you have suffered investment losses as a result of the fraud or negligence of your financial professional or brokerage firm, The White Law Group may be able to help. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm
Read More »
-
September 29, 2010
Comments (0)
Blog, Securities Fraud
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities
Read More »
-
September 29, 2010
Comments (0)
Blog, Securities Fraud
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities
Read More »
-
September 29, 2010
Comments (0)
Blog, Securities Fraud
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities
Read More »
-
September 29, 2010
Comments (0)
Blog, Securities Fraud
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The White Law Group may be able to help. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities
Read More »
