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June 15, 2010
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Blog, Securities Fraud
FINRA recently announced that Christopher William Shanahan, a former financial advisor in Westlake, Ohio, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Shanahan consented to the described sanction and to the entry of findings that he misappropriated
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June 8, 2010
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Blog, Securities Fraud
The White Law Group is investigating securities fraud claims on behalf of investors involving recommendations made by broker-dealers like Securities America, Peak Securities, and Cedar Brook Financial Partners (among others) to invest in Medical Capital. Medical Capital was set up to purchase accounts receivables of
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June 5, 2010
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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 White Law Group has its offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits
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June 4, 2010
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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 White Law Group has its offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits
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May 24, 2010
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Blog, Securities Fraud
FINRA recently announced that Ancora Securities, Inc., a registered broker-dealer based in Cleveland, Ohio, has been censured, fined $12,500 and required to revise its written supervisory procedures regarding trade report input. Without admitting or denying the findings, Ancora Securities consented to the described
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November 22, 2009
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Blog, Securities Fraud
FINRA recently announced that Fortune Financial Services, Inc. (a FINRA registered broker-dealer based in New Brighton, Pennsylvania ) and Brian Lee Daniels have been censured and fined $125,000 and $25,000 respectively. Additionally, Daniels has been suspended from association with any FINRA member in any principal
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November 4, 2009
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Blog, Securities Fraud
Financial Industry Regulatory Authority (FINRA) recently announced that it has barred Richard L. Wood, a Miamisburg, Ohio, broker, from the securities industry for stealing a $90,000 inheritance two sisters received from a deceased aunt and using it for his own purposes. FINRA also found that Wood created and sent
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September 18, 2009
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Blog, Securities Fraud
FINRA recently announced that Philip Louis Crouse, Sr., formerly of Nationwide Securities, Inc. in Renfrew, Pennsylvania, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Crouse consented to the findings that he caused the securities in a customer’s
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