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September 3, 2019
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Blog
SEC charges Cetera Advisors with defrauding clients According to reports, the Securities and Exchange Commission Thursday charged Cetera Advisors with breaching its fiduciary duty and defrauding its retail advisory clients in connection with the sales of mutual funds. The SEC alleged that the firm failed to disclose
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April 1, 2013
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Blog, Securities Fraud
According to a new Accenture survey of 400 financial advisors and 1,000 investors in the United States, advisors are three times more likely to describe clients as “very knowledgeable” about investing than investors do themselves (42% vs. 12%, respectively). According to reports, the study also indicated the
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March 12, 2013
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Blog, Securities Fraud
The Securities and Exchange Commission recently charged the State of Illinois with securities fraud, claiming that the state misled municipal bond investors about how the state funded its pension liabilities. It is being reported that the SEC filed an order instituting cease-and-desist proceedings against the state,
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November 7, 2012
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Blog, Securities Fraud
The White Law Group is a national securities fraud, securities arbitration, investor protection and securities regulatory/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. The firm’s securities fraud practice typically involves representing defrauded investors in claims against
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