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February 22, 2019
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Blog, Current Investigations
Rock Hill Associates LP Secondary Market Offer Are you concerned about your investment in Rock Hill Associates LP? If so the securities attorneys at The White Law Group may be able to help you by filing a FINRA Resolution Claim against the brokerage firm that sold you the investment. According to an announcement in
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March 3, 2015
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Blog, Securities Fraud
FINRA recently reported updated statistics on the number and type of arbitration claims being filed in 2015 relative to previous years. For the full statistics published by FINRA, visit http://www.finra.org/ArbitrationAndMediation/FINRADisputeResolution/AdditionalResources/Statistics/. A couple of thoughts on the
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December 11, 2014
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Blog, Securities Fraud
The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against Centaurus Financial. This claim seeks to recover losses between $100,000 and $499,999. The claim, filed by The White Law Group, was submitted to FINRA Dispute Resolution on behalf
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December 4, 2014
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Blog, Securities Fraud
According to a recent FINRA Disciplinary Action, William Brian Mulder (CRD #1474998, Tulsa, Oklahoma) submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Mulder consented to the sanction and to the entry of findings that he failed
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August 25, 2014
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Blog, Securities Fraud
According to the Associated press, the president of DBSI, David Swenson, was sentence to 20 years in federal prison by District Judge B. Lynn Winmill. The company’s former legal counsel, Mark Ellison, was sentenced to five years. “Winmill said Wednesday that he didn’t believe the defendants set out
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May 6, 2014
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Blog, Securities Fraud
According to Investment News, on May 1, 2014, an arbitration panel for the Financial Industry Regulatory Authority (FINRA) awarded two retired school teachers $1.17 million for a claim involving tenant-in-common (TIC) investments . The FINRA arbitrators ruled that broker-dealer, Ameriprise Financial Services,
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April 17, 2014
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Blog, Securities Fraud
According to reports, CEO and president of DBSI, Douglas L. Swenson, was convicted of thirty-four counts of wire fraud and forty-four counts of securities fraud. Three other top DBSI executives were also convicted on multiple fraud charges. The jury convicted Ellison, 65, of Boise, David Swenson, 36, of Boise, and
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April 8, 2014
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Blog, Securities Fraud
According to InvestmentNews, broker-dealer Berthel Fisher & Co. Financial Services Inc., “one of the biggest seller of DBSI TICs,” recently settled a lawsuit with the DBSI Private Action Trust. According to the report, “The trustee in 2010 sued Berthel Fisher and almost 100 other
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March 27, 2014
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Blog, Securities Fraud
According to The Associated Press, the DBSI trial is on hold after FBI agent, Rebekah E. Morse, died of a self-inflicted gunshot to the head following her testimony. Authorities have not released the details of Morse’s suicide note, and it is unknown if her testimony had any bearing on her death. However, the
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December 20, 2013
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Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Deutsche Bank Securities, Inc. $6.5 million and censured the firm for serious financial and operational deficiencies primarily related to its enhanced lending program. The violations, which were allegedly identified during a 2009
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