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January 17, 2012
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Blog, Securities Fraud
Did you lose money in a promissory note investment sold to you by Alternative Wealth Strategies? If so, The White Law Group may be able to help. FINRA recently announced that Alternative Wealth Strategies was censured and fined $75,000, which includes the disgorgement of $40,000 in commissions, relating to FINRA’s
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March 15, 2011
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Blog, Securities Fraud
ANNE MARIE SCHLENKER was a financial adviser representative and salesperson for Edward Jones and Company in Bozeman, Montana, from May 31, 2004, until her fraud was discovered in February 2010. SCHLENKER used her position at Edward Jones to misappropriate $329,682.15 of client money for her own personal use from
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September 10, 2010
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Blog, Securities Fraud
The White Law Group is investigating the appropriateness of reverse convertible securities or reverse convertible notes sold by broker-dealers. A reverse convertible security (RCS), or reverse convertible note, is a short-term note linked to an underlying stock. The primary selling point of the product is that it
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June 22, 2010
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Blog, Securities Fraud
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm. The White Law Group has its offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits of being located so close to the FINRA Dispute
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June 8, 2010
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Blog, Securities Fraud
FINRA recently announced that Charles James Moni, a financial advisor formerly registered with Jesup & Lamont Securities Corp, a FINRA broker-dealer based in Edison, New Jersey, has been fined $39,013, which includes disgorgement of $29,013 representing commissions received, and suspended from association with
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July 23, 2009
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Blog, Securities Fraud
As reported by Marcy Gordon of the Associated Press, Ameriprise Financial Services Inc. has agreed to pay more than $17 million to settle federal regulators’ charges that it failed to disclose nearly $31 million received for selling certain investments to its brokerage customers. Ameriprise did not admit or deny
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