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August 16, 2017
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Blog, Securities Fraud
New York Times op-ed piece sparks investigation into broker kickbacks According to reports on Tuesday, Massachusetts securities regulator, William Galvin, launched an investigation into charges that brokers were receiving kickbacks for routing sales orders to certain stock exchanges. The investigation was sparked by
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June 8, 2017
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Securities Fraud
The SEC’s Office of Investor Education and Advocacy recently issued an Investor Bulletin to identify when a senior has been a victim of investment fraud. Identify whether it is investment fraud. -High pressure sales tactics; – Guaranteed returns or promises of high returns with little or no risk; -Repeated
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February 9, 2017
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Current Investigations
Concerned about investment losses with LaeRoc Income Fund 007 LP? Have you suffered investment losses in a LaeRoc Income Fund 007 LP? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. LaeRoc Funds is a real estate investment firm. According to the firm’s website,
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January 23, 2017
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Blog, Securities Fraud
According to reports, more than half of all households use a financial planner. Unfortunately broker misconduct is prevalent. How can you tell if your broker has a fraud record? Broker Misconduct Close to 7 percent of advisors have been disciplined for a fraud dispute or some form of misconduct, according to a
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November 22, 2016
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Blog
Important investor educational message by PIABA foundation The informative video features victims as well as many PIABA members who explain why investors are hesitant to hold their brokers responsible for bad investment recommendations and fraud. Our hope is that the video will educate investors about the prevalence
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November 4, 2016
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Blog
Even though U.S. brokers are overseen by an industry self-regulator, the Financial Industry Regulatory Authority (FINRA) there is a current trend in the securities industry for brokers who have been permanently or temporarily barred to transition to a new career as an investment advisor. This is a legal transition,
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October 31, 2016
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Blog, Current Investigations, Securities Fraud
Investment Losses with Investment Scams The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals who may receive lump sum payouts from insurance companies and others as a result of damage from Hurricane Matthew, about Investment Scams.
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August 10, 2016
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Podcasts, Securities Fraud
How to file a FINRA claim In this episode, Mr. White discusses the statute of limitations for bringing a FINRA claim against your brokerage firm, as well as how to file a claim.
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October 13, 2015
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Blog, Securities Fraud
Ever wonder who were the worst financial advisors of 2015? ThinkAdvisor compiled a list of 12 financial advisors who allegedly put their own self interests above their clients. According to ThinkAdvisor, the amount of money stolen was not the only factor considered. The type of victims they took advantage of and the
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July 2, 2015
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Securities Fraud
Have you suffered investment losses in Franklin Double Tax-Free Income A? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The White Law Group is investigating potential securities fraud claims involving broker-dealers’ improper recommendation that investors
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