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March 20, 2019
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Blog, Current Investigations
Dudley Stephens – Coastal Equities – New York, NY According to publicly available FINRA records, former financial advisor Dudley Stephens has disclosed a pending customer complaint on February 20, 2019. The customer(s) allege that “Stephens’ conduct included making unauthorized trades, trading their
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March 11, 2019
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Blog, Current Investigations
ProEquities Inc. Sanctioned for Mutual Fund Overcharges According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned broker-dealer ProEquities Inc. for alleged mutual fund overcharges. According to a Letter of Acceptance, Waiver & Consent on March 7, between January 1, 2011, and
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March 4, 2019
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Blog, Current Investigations
Investor Alert: GWG L Bonds Are you concerned about your investment in GWG L Bonds? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. GWG Holdings finances its portfolio of life insurance
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January 15, 2019
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Blog, Securities Fraud
“Selling Away” Can a FINRA brokerage firm be held responsible for “Selling Away”? When a licensed securities agent sells an investment to his/her client that was not approved by their employer, that is in violation of FINRA Rules and Regulations. The following is a brief discussion on what
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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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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 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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November 15, 2016
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Blog, Current Investigations
Investigation of Ridgewood Energy Bluewater Oil Fund IV Are you concerned about investment losses in Ridgewood Energy Bluewater Oil Fund IV, LLC? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment.
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June 27, 2013
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Blog, Securities Fraud
According to the Financial Industry Regulatory Authority (FINRA), StateTrust Investment Inc has been fined $1.045 million by FINRA and ordered to pay more than $353,000 in restitution to customers for charging excessive markups and markdowns in fraudulent corporate bond transactions. In addition, FINRA fined the
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July 12, 2012
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Blog, Securities Fraud
Securities Attorneys for Financial Advisors Are you a financial advisor with a securities employment dispute with your former employer? If so, The White Law Group may be able to help you. Licensed financial professionals, registered with FINRA, can face a variety of legal actions that can affect their ability to
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