-
October 10, 2019
Comments (0)
Blog
FINRA Award: Customer Complaint against Stifel Nicolaus for Alleged supervisory failures According to public records posted last week, a Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Stifel Nicolaus to pay $1.5 million to three Baltimore, MD customers who alleged the firm failed to
Read More »
-
March 20, 2019
Comments (0)
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
Read More »
-
March 11, 2019
Comments (0)
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
Read More »
-
March 4, 2019
Comments (0)
Blog, Current Investigations
Investor Alert: GWG L Bonds Update on April 5, 2019 For more information about GWG bonds, press play for a short video. Are you concerned about your investment in GWG L Bonds? If so, the securities attorneys at The White Law Group may be able to …
Read More »
-
January 15, 2019
Comments (0)
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
Read More »
-
December 28, 2018
Comments (0)
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
Read More »
-
November 1, 2017
Comments (0)
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
Read More »
-
August 2, 2017
Comments (0)
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
Read More »
-
November 15, 2016
Comments (0)
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.
Read More »
-
June 27, 2013
Comments (0)
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
Read More »
