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December 11, 2017
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Blog, Current Investigations
L-share Annuity – Investment Losses An L-Share Annuity is a common share class offered by a variable annuity that has a short surrender period but with higher administrative costs. Typically, with an L-Share annuity, you will pay a higher mortality, expense and administration (MEA) fee and likely get a lower
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March 29, 2017
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Blog, Securities Fraud
NY Brokers charged the same day in churning scheme The Securities and Exchange Commission issued an investor alert In January warning investors about excessive trading and churning in brokerage accounts the same day it charged two New York brokers with benefiting themselves in such a scheme. The SEC’s
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March 10, 2017
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Current Investigations
Senate Democrats pushing for FINRA reform. In a Senate Banking Committee markup of unrelated bills Thursday, Sen. Elizabeth Warren, D-Mass., offered an amendment that would direct the Financial Industry Regulatory Authority (FINRA) to create a fund that would cover unpaid arbitration awards. She later withdrew the
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February 14, 2017
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Securities Fraud
Is your Financial Advisor Churning your Account? Have you suffered losses investing with your financial advisor? If so, The White Law Group may be able to help you by filing a FINRA arbitration claim against the brokerage firm that sold you the investments. Like any profession – there are good financial advisors and
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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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January 10, 2017
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Blog, Podcasts, Securities Fraud
What is Churning? Churning is excessive trading by a broker in a client’s account largely to generate commissions. Churning claims arise out of the inherent conflict of interest involved when a financial advisor is compensated by commissions
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January 1, 2017
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Blog
Here are 10 tips from the SEC’s Office of Investor Education and Advocacy to help you make better informed investment decisions and avoid common scams in 2017. Always do your research and check the background of an investment professional. It’s not hard to do. You can check FINRA’s Broker Check finra.org
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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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December 31, 2013
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Blog, Current Investigations, Securities Fraud
KBS REIT I Investment Losses Have you suffered investment losses in KBS REIT I? If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. The White Law Group continues to investigate potential securities fraud claims involving broker-dealers’ improper recommendation
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March 30, 2012
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Blog, Securities Fraud
KBS REIT I Investment Losses Investors in the popular non-traded REIT, KBS Real Estate Trust Inc. (KBS REIT I), were reportedly notified on Monday that the value of their shares is now estimated by the company at $5.16. The new valuation represents a 29% drop from the last change to the valuation in late 2009 …
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