mutual funds
Tag Archive

  • Wisconsin Financial and Securities Fraud

    February 1, 2011 Comments (0) Blog, Securities Fraud

    Securities as defined by Wisconsin law, include stocks, bonds, promissory notes and other evidences of indebtedness; shares in mutual funds; stock options; limited partnership interests; interests in oil and gas, mining, or real estate ventures or leases; certificates of deposit; some commodity contracts; and

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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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  • Regulatory History of Wedbush Securities

    October 26, 2010 Comments (0) Blog, Securities Fraud

    The White Law Group reviews securities fraud cases throughout the country, including reviewing securities fraud cases involving all of the FINRA registered broker-dealers. Wedbush Securities is a FINRA registered broker-dealer founded in 1955.  It is primarily a West Coast firm, with headquarters in Los Angeles,

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  • Information Regarding Waddell & Reed’s Sales Practices

    October 21, 2010 Comments (0) Blog, Securities Fraud

    Waddell & Reed’s sales practices have been the subject of regulatory inquiry on several occasions. Back in 2005, FINRA resolved its action against Waddell & Reed, Inc., of Overland Park, KS, arising from thousands of variable annuity exchanges made as part of the firm’s national switching campaign.

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  • FINRA Arbitration Statistics

    September 22, 2010 Comments (0) Blog, Securities Fraud

    FINRA recently published statistics on the securities cases that it administers through its FINRA Dispute Resolution process.  The statistics reveal that case filings are slightly down from 2009, and that the administration time for cases is slightly longer than in 2009.  The statistics are also broken down to show

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  • Current Securities Fraud Investigations

    June 29, 2010 Comments (0) Blog, Securities Fraud

    The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. The firm is dedicated to assisting investors who have suffered investment losses as a result of their financial

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