-
September 21, 2011
Comments (0)
Blog, Securities Fraud
Informational video on Churning fraud (excessive trading) Churning fraud is defined as an unethical practice employed by some financial advisors to increase their commissions by excessively trading in a client’s account. This practice violates various FINRA Rules and is often referred to as “churn and burn”,
Read More »
-
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
Read More »
-
January 4, 2011
Comments (0)
Blog, Securities Fraud
A former Smith Barney financial adviser in New York has plead guilty to attempting to defraud a client of more than $3 million. According to Reuters, Federal prosecutors have said that Sanjeev Jayant Kumar Shah admitted to sending false documents in March 2009 that authorized Smith Barney to transfer $3.25 million
Read More »
-
December 3, 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. Our firm is dedicated to helping investors in claims against their financial professional or brokerage firm in Milwaukee, Wisconsin and throughout the country. The firm
Read More »
-
December 2, 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 over thirty years securities law experience, including experience at FINRA (f/k/a the NASD) and the SEC. The firm has offices in Chicago, Illinois and Boca Raton,
Read More »
-
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
Read More »
-
November 26, 2010
Comments (0)
Blog, Securities Fraud
According to the Investment News, the following are the top broker-dealers (ranked by reps producing over $100,000): Click column headers to sort fields Rank Broker-dealer No. of reps 1 LPL Financial* 5432 • Associated Securities Corp. 121 • Mutual Service Corp. 547 • Waterstone Financial Group 275 2 AIG Advisor
Read More »
-
October 29, 2010
Comments (0)
Blog, Securities Fraud
In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA’s (then NASD’s) firm self-assessment of mutual fund breakpoint discount compliance. The self-assessment required firms that sold front-end load mutual funds to review their compliance in
Read More »
