investment lawyer
Tag Archive

• Birch Royalties LLC – Secondary Market Sale

  

  January 9, 2018 Comments (0) Blog, Current Investigations

  Birch Royalties LLC – Oil and Gas Securities Investigation Are you concerned about your investment in Birch Royalties LLC? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA arbitration claim against the brokerage firm that sold you the investment. Birch Royalties

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• Hickory Royalties LLC – Oil & Gas Securities Investigation

  

  October 20, 2017 Comments (0) Blog, Current Investigations

  Investigating Potential Claims Involving Hickory Royalties Have you suffered losses investing in Hickory Royalties LLC at the recommendation of your broker? If so, the securities attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration Claim against the brokerage firm

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• FINRA Fines Oppenheimer

  August 6, 2013 Comments (0) Blog, Securities Fraud

  On August 5, 2012 the Financial Industry Regulatory Authority (FINRA) announced that Oppenheimer & Co has been fined $1,425,000 for selling unregistered penny stocks and for failing to have implemented an adequate anti-money laundering (AML) program to detect suspicious transactions. In addition to the fine,

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• Recovery of Noble Royalties Investment Losses

  

  June 13, 2013 Comments (0) Blog, Securities Fraud

  Investigation of Noble Royalties Have you suffered substantial losses in your investment with Noble Royalties? If so, the securities fraud attorneys at The White Law Group may be able to help you recover your losses. According to Noble Royalties website, the company specializes in the acquisition, funding and

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• Slow Transfer Year in Securities Industry

  April 8, 2011 Comments (0) Blog, Securities Fraud

  According to the InvestmentNewsAdvisers on the Move database, the wealth management division of UBS Financial Services Inc. added the most new advisers (74) and the greatest amount of assets ($11.6 billion) among firms in the database — this despite persistent rumors the division might be sold. UBS Financial also

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• Recovery of Investment Losses

  November 30, 2010 Comments (0) Blog, Securities Fraud

  If you have suffered investment losses as a result of the fraud or negligence of your financial professional or brokerage firm, The White Law Group may be able to help. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm

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• FINRA Fines Atlanta based broker-dealer SunTrust Investment Services

  October 6, 2010 Comments (0) Blog, Securities Fraud

  FINRA recently today that it has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related to unsuitable unit investment trust (UIT), closed-end fund (CEF) and mutual fund transactions. Of that amount, $900,000 is a fine that includes nearly $224,000 in disgorgement of

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• Howe Barnes Hoefer & Arnett, Inc. fined by FINRA for failure to disclose information on customer confirmations.

  May 24, 2010 Comments (0) Blog, Securities Fraud

  FINRA recently announced that Howe Barnes Hoefer & Arnett, Inc., a registered broker-dealer based in Chicago, Illinois, has been censured and fined $20,000. Without admitting or denying the findings, Howe Barnes Hoefer & Arnett consented to the described sanctions and to the entry of findings that it

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