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November 7, 2016
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Blog
Have you suffered investment losses in Passco Waikoloa, LLC? 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. According to their website, “Passco Companies, LLC is a nationally recognized market
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May 16, 2011
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Blog, Securities Fraud
Brean Murray, Carret & Co., LLC (CRD #23723, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $17,500 and required to revise its written supervisory procedures regarding SEC Rules 611(a) (1) and (c) of Regulation NMS; order handling; best
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October 10, 2009
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Blog, Securities Fraud
As first reported by the Sun Sentinel, a former Riviera Beach attorney recently plead guilty to a massive Ponzi scheme investment (securities) fraud in the operation of multimillion-dollar hedge funds, according to the U.S. Attorney’s Office. Won Sok Lee, 39, was charged with two felony counts in connection with
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October 2, 2009
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Blog, Securities Fraud
FINRA recently announced that David Michael Piazza, formerly of Farmers Financial Solutions, LLC in Montgomery, Illinois, has been fined $20,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting or denying the findings, Piazza consented to findings that he deposited
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September 23, 2009
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Blog, Securities Fraud
FINRA recently announced that William J. Gray, formerly of AXA Advisors, LLC in Woodbridge, New Jersey , has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Gray consented to findings that he forged the signatures of a customer and brokers of his firm (AXA
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August 20, 2009
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Blog, Securities Fraud
According to a recent FINRA announcement, Eric Evan Everson, formerly of Brokers International Financial Services, LLC in Gravois Mills, Missouri, has been fined $5,000 and suspended from associating with any FINRA member firm for 10 business days. The sanctions were based on findings that Everson recommended a
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July 21, 2009
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Blog, Securities Fraud
According to Public Opinion Online (http://www.publicopiniononline.com/ci_12848083), a Florida man is accused of cheating local Florida investors out of nearly $15 million and using the money to fund a life of luxury for himself and his wife. The U.S. Securities and Exchange Commission and the Commodity Futures
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