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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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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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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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November 5, 2013
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Blog, Securities Fraud
Have you suffered financial losses as a result of your dealings with ex-broker James Scott McKee? If so, The White Law Group may be able to help you recover your losses through a FINRA arbitration claim against the brokerage firm that employed Mckee. According to reports, McKee plead guilty to nine counts of
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May 8, 2013
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Blog, Securities Fraud
In addition to its regulatory functions, the Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. In fact, FINRA Dispute Resolution is the forum for virtually all disputes between and among investors, brokerage firms and individual brokers. The
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May 8, 2013
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Blog, Securities Fraud
FINRA recently announced that Paul Grover Gomez a registered representative in El Toro, California has been fined $75,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or denying the allegations, Gomez consented to the entry of findings that his options
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April 9, 2013
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Blog, Securities Fraud
The White Law Group continues to follow the SEC discussions regarding the development of a unified fiduciary standard in accordance with Dodd-Frank Wall Street Reform and the Consumer Protection Act. The Dodd-Frank Wall Street Reform and Consumer Protection Act mandated that the SEC conduct a review of SEC operations,
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August 31, 2012
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Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory and other violations related to the interaction between the firm’s research and investment banking functions. Rodman & Renshaw, LLC is a New York-based broker-dealer
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