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February 11, 2019
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Blog, Current Investigations
NorthStar Healthcare Income – Securities Investigation To learn more please click play. The White Law Group continues to investigate potential claims involving the liability that broker-dealers may have for improperly recommending
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January 15, 2019
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Blog, Securities Fraud
“Selling Away” – Can FINRA brokerage firm’s be held responsible for the investment losses incurred on investments sold directly by their agent/advisor to the client even if the investment was not authorized by the firm? The following is a brief discussion on what has become known as “selling
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December 28, 2018
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Blog
FINRA – Essential Investor Tips for 2019 The Financial Industry Regulatory Authority (FINRA) just released an Investor Alert on essential investor tips for 2019. Begin your retirement planning. If you continue to wait until you have enough money to save for retirement, you may never save a dime. Talk to your
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February 15, 2018
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Blog
The Financial Industry Regulatory Authority Dispute Resolution FINRA operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. The resolution of problems and disputes is
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November 1, 2017
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Blog
Regulatory Functions of the SEC and FINRA Obviously, the securities arena has rules and guidelines to follow. Have you ever asked yourself who regulates brokerage firms and the securities industry? Who writes the laws dealing with securities? Who actually punishes violators of the rules and guidelines? Many of these
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August 22, 2017
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Publications
The claim against defunct broker-dealer EDI Financial Inc. highlights a growing problem of unpaid arbitration awards A client of a small broker-dealer that sold her high risk private placements and nontraded real estate investment trusts won a $433,000 arbitration claim last week but, because the broker-dealer is
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August 2, 2017
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Blog, Current Investigations, Securities Fraud
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. Morgan Securities LLC, and Interactive Brokers LLC have been censured and fined a total of $4.75 million for violations of various provisions of the
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July 10, 2017
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Blog, Current Investigations, Securities Fraud
FINRA June 2017 Disciplinary Report According to the Financial Industry Regulatory Authority, Clay E. Hoffman (CRD #4371162, Brunswick, Georgia) was barred from association with any FINRA member in all capacities. The sanction is based on findings that Hoffman failed to respond to FINRA’s information requests in
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June 8, 2017
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Securities Fraud
The SEC’s Office of Investor Education and Advocacy recently issued an Investor Bulletin to identify when a senior has been a victim of investment fraud. Identify whether it is investment fraud. -High pressure sales tactics; – Guaranteed returns or promises of high returns with little or no risk; -Repeated
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November 5, 2015
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Blog, Podcasts, Securities Fraud
Wall Street V. Main Street Podcast – Episode 5 – How to Vet and/or Fire your Financial Advisor In this episode, Mr. White discusses How to vet your financial advisor and how to fire your financial advisor Producer: Welcome to Wall Street
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