FINRA complaint
Tag Archive

January 11, 2011

FINRA Investigates Long Island brokerage firm David Lerner & Associates

According to the New York Post, in May 2010, FINRA accused Long Island brokerage

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January 4, 2011

Former Smith Barney Financial Advisor Sanjeev Jayant Kumar Shah Pleads...

A former Smith Barney financial adviser in New York has plead guilty to attempting

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September 30, 2010

Penson Financial Services and Pinnacle Capital Markets fined by FINRA.

In February 2010, the Financial Industry Regulatory Authority (FINRA) announced that

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August 31, 2010

How to file a complaint against your broker

Whether you realized it at the time or not, when you established your brokerage

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August 27, 2010

How to file a FINRA complaint

Whether you realized it at the time or not, when you established your brokerage

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August 18, 2010

Investigation Into Possible Securities Fraud Involving Northern Trust Securities /...

The White Law Group is investigating a possible securities fraud claim on behalf on

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July 16, 2010

Possible securities fraud involving indexed annuities

The White Law Group is investigating the sales practices of brokerage firms and

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July 16, 2010

Investigation Into Possible Securities Fraud Involving Oppenheimer Funds

The White Law Group is investigating possible securities fraud claims involving the

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July 14, 2010

Common Securities Fraud Involving REITs (real estate investment trusts).

A real estate investment trust or REIT is a tax designation for a corporation

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June 30, 2010

Shawn Casuccio, a former financial advisor with Metlife Securities, barred...

FINRA recently announced that Shawn Patrick Casuccio, a former financial advisor

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