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November 20, 2018
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Blog, Securities Fraud
The White Law Group has filed a FINRA Claim against Taylor Capital Management The White Law Group has filed and submitted a FINRA claim on behalf of a North Carolina resident alleging claims for violation of common law fraud, breach of fiduciary duty, negligence, and negligent supervision against Taylor Capital
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August 30, 2018
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Blog, Securities Fraud
Financial Advisor Misconduct – new study says 1 in 10 advisors has severe misconduct records. According Financial IQ a recent study, ’The Market for Financial Advisor Misconduct,’ to be published in the Journal of Political Economy, says that one in ten advisors has severe misconduct records and that may be
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March 29, 2018
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Blog, Current Investigations, Securities Fraud
SEC Charges Maxwell Technologies with Fraudulent Scheme According to a press announcement yesterday, the Securities and Exchange Commission has charged Maxwell Technologies, Inc., and one of its former sales executives in a fraudulent revenue recognition scheme designed to inflate the company’s reported financial
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March 29, 2018
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Blog, Current Investigations
Aegis Capital Corporation fined $1.3 Million According to a press announcement today, Aegis Capital Corporation will pay $1.3 million in fines after reportedly admitting it failed to file suspicious activity reports on deals that should have set off red flags for potential money-laundering activity, regulators said.
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February 15, 2018
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Blog
The Financial Industry Regulatory Authority Dispute Resolution FINRA operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. The resolution of problems and disputes is
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February 12, 2018
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Blog, Securities Fraud
Financial Advisors under Scrutiny in 2018 According to the Securities and Exchange Commission, the regulator will be paying attention when investment advisors overcharge investors when less expensive options are available. The Office of Compliance Inspections and Examinations says in its 2018 National Exam Program
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January 25, 2018
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Current Investigations, Securities Fraud
Daniel Glick Pleads Guilty to $5.2 M Misappropriation According to a press announcement Monday, the SEC has reached a plea agreement with a Chicago-based broker and CPA, Daniel Glick, charged with misappropriating $5.2 million of his clients’ funds. Daniel Glick reportedly pled guilty to one count of wire fraud
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September 14, 2017
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Blog, Current Investigations
Recovery of Investment Losses in Sierra Income Corporation Did you lose money investing in Sierra Income Corporation? If so, the securities attorneys of 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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August 30, 2017
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Blog, Current Investigations
Investigating Potential Claims Involving Arciterra Note Fund III Did you lose money investing in Arciterra Note Fund III? 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. ArciTerra Group, LLC
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July 24, 2017
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Blog, Current Investigations, Securities Fraud
PA Regulator Hits Newbridge Securities with $499,000 Fine over Structured Products The Pennsylvania Department of Banking and Securities this week hit Newbridge Securities Corporation with a $499,000 fine for failing to supervise a broker in connection with sales of structured products to his clients. According to the
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