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April 24, 2018
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Blog, Current Investigations, Securities Fraud
FINRA Sanctions GWN Securities for Sales Fee Overcharges According to the Financial Industry Regulatory Authority (FINRA) on February 20th, 2018, the regulator sanctioned GWN Securities, Inc., a brokerage firm based in Palm Beach Gardens, Florida. According to FINRA investigators, GWN Securities, Inc. allegedly failed
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April 3, 2018
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Blog, Current Investigations
Morgan Stanley Advisor David W. Olson Barred by FINRA According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Florida advisor David W. Olson from the securities industry. After initially cooperating with FINRA’s investigation, Olson reportedly refused to provide certain
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February 15, 2018
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Blog, Current Investigations, Securities Fraud
Securities Investigation – Jimmy O. Moscoso According toThe Financial Industry Regulatory Authority (FINRA), the regulator has barred Jimmy O. Moscoso (CRD # 2912265, Boca Raton, FL) from the securities industry. According to the Letter of Acceptance, Waiver and Consent dated February 2018, in November 2017, while
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August 8, 2014
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Blog, Securities Fraud
Florida broker Kevin Anthony Tuttle Suspended The Financial Industry Regulatory Authority (FINRA) has suspended Florida broker Kevin Anthony Tuttle for two years and fined him $50,000. FINRA alleged that Tuttle, along with his partner, sent account statements with inflated account values to investor in two hedge funds
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October 1, 2012
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Blog, Securities Fraud
Merrimac Corporate Securities, Inc. (CRD #35463, Altamonte Springs, Florida) recently was fined $18,500. The National Adjudicatory Council (NAC) imposed the sanction following appeal of an Office of Hearing Officers (OHO) decision. The sanction was based on findings that the firm sold private placements, real estate
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September 23, 2011
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Blog, Securities Fraud
The following is a brief breakdown of publicly available information regarding Raymond James and its securities sales practices and FINRA regulatory history. Raymond James is a FINRA registered broker-dealer based in St. Petersburg, Florida. Raymond James’ website states that the firm has more than 5,400 financial
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August 19, 2011
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Blog, Securities Fraud
Have you suffered investment losses in Puerto Rico Conservation Trust Fund Secured Notes? If so, The White Law Group may be able to help. The White Law Group is investigating potential securities fraud claims on behalf of investors involving broker-dealers recommendation that investors purchase these risky
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August 3, 2011
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Blog, Securities Fraud
Brookstone Securities, Inc. (CRD #13366, Lakeland, Florida) and David William Locy (CRD #4682865, Registered Principal, Overland Park, Kansas) recently submitted a Letter of Acceptance,Waiver and Consent in which the firm and Locy were censured and fined $25,000, jointly and severally. Without admitting or denying
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May 20, 2011
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Blog, Securities Fraud
Have you suffered investment losses in G-REIT? The White Law Group may be able to help. The White Law Group is investigating potential securities fraud claims on behalf of investors involving broker-dealers recommendation that investors purchase risky REIT investments, including the G-REIT. FINRA recently announced
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February 11, 2011
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Blog, Securities Fraud
Have you suffered investment losses in the Cornerstone Core Property Real Estate Trust? The White Law Group may be able to help. The White Law Group is investigating potential securities fraud claims on behalf of investors involving broker-dealers recommendation that investors purchase risky REIT investments,
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