recovery of investment losses
Tag Archive

• Churning (Excessive Trading), Informational Video about Securities Fraud

  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”,

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• 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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• Former Smith Barney Financial Advisor Sanjeev Jayant Kumar Shah Pleads Guilty To Securities Fraud

  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

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• Milwaukee, Wisconsin Securities Fraud / Broker Fraud Attorney

  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

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• Tampa Securities Fraud / Broker Fraud Attorney

  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,

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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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• Largest Independent Broker-Dealers

  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

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• FINRA Fines For Mutual Fund Sales Practices

  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

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