New York
Tag Archive

January 26, 2011

Merrill Lynch Settles Securities Fraud Charges

Merrill Lynch recently agreed to pay a $10 million fine to settle civil securities

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January 11, 2011

FINRA Investigates Long Island brokerage firm David Lerner & Associates

According to the New York Post, in May 2010, FINRA accused Long Island brokerage

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December 31, 2010

Auction Rate Securities Fraud Investigation

The White Law Group is currently investigating securities fraud claims against New

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October 21, 2010

Janney Montgomery Scott Regulatory History and Sales Practices

Established in 1832, Janney Montgomery Scott is a Philadelphia, Pennsylvania based

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October 4, 2010

Securities Fraud Investigation Involving Retained Asset Accounts

The White Law Group is investigating possible securities fraud claims involving

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July 16, 2010

Investigation Into Possible Securities Fraud Involving Oppenheimer Funds

The White Law Group is investigating possible securities fraud claims involving the

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June 11, 2010

Andrew Mark Ruby, a former Morgan Stanley financial advisor in...

FINRA recently announced that Andrew Mark Ruby, a former Morgan Stanley financial

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June 10, 2010

Buffalo, New York Securities Fraud / Broker Fraud Attorney

The White Law Group, LLC is a national securities fraud, securities arbitration,

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January 28, 2010

Michael Lewis Axel, formerly of Tripp & Co., Inc. in...

FINRA recently announced that Michael Lewis Axel, formerly of Tripp & Co., Inc.

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December 3, 2009

BGC Financial, L.P. (a FINRA broker-dealer based in New York...

FINRA (formerly the NASD) recently announced that BGC Financial, L.P. (a FINRA

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