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March 5, 2019
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Blog, Current Investigations, Securities Fraud
Financial Advisor William Gennity worked for 10 Firms in 13-Year Career Have you suffered losses investing with financial advisor William Gennity? If so, the securities fraud attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage
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September 24, 2018
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Blog, Current Investigations
Robert Todd Clark – Moors & Cabot – Boston, MA According to the Financial Industry Regulatory Authority (FINRA) on September 24, 2018, the regulator has barred financial advisor Robert Todd Clark from associating with any FINRA member in any capacity. In 2018, FINRA reportedly began investigating allegations
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September 21, 2017
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Blog, Current Investigations, Securities Fraud
Mass. Regulator William Galvin Charges SII Investments with Supervisory Issues Massachusetts’ state securities regulator William Galvin has charged SII Investments with unethical conduct related to the sale of real estate investment trusts, according to an administrative complaint filed by the state. According to
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October 17, 2014
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Blog, Securities Fraud
According to a recent FINRA Disciplinary Actions announcement, Joseph Kennon Jayne (CRD #2359927, Needham, Massachusetts) submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Jayne consented to the sanction and to the entry of
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March 7, 2014
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Blog, Securities Fraud
Former broker, Jane O’Brien, who is serving a 33 month sentence after pleading guilty to defrauding clients, is facing additional charges. According to Investment News, O’Brien is being indicted for an 18-year Ponzi scheme. Allegedly O’Brien misappropriated approximately $1.3million of client funds between 1995
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November 4, 2013
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Blog, Securities Fraud
Massachusetts security regulators fine Merrill Lynch $500,000 for “failure to supervise” a former broker who pled guilty to securities fraud. According to Investment News, Merrill Lynch has been fined as a result of its “failure to supervise” former broker Jane O’Brien. Ms. O’Brien, who pled guilty to
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June 10, 2013
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Blog, Securities Fraud
According to reports, former Merrill Lynch broker, Jane E. O’Brien, has pled guilty to defrauding a client out of $240,000. O’Brien allegedly offered a client the opportunity to invest in a private placement, but instead kept the money for personal use. In addition, O’Brien allegedly borrowed approximately $1.7
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November 1, 2012
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Blog, Securities Fraud
On October 29, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order against BTS Asset
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April 4, 2012
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Blog, Current Investigations, Securities Fraud
According to reports, the Massachusetts Secretary of State has fined a unit of State Street Corp. $5 million for its role in a mortgage-backed debt obligation. State Street is a Boston-based financial services company registered with FINRA. According to Secretary of State’s office, State Street Global Advisors
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September 26, 2011
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Blog, Securities Fraud
The following is a brief breakdown of publicly available information regarding MML Investors Services and its securities sales practices and FINRA regulatory history. MML Investors Services is a FINRA registered broker-dealer based in Springfield, Massachusetts. The firm is the broker-dealer arm of MassMutual.
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