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March 20, 2019
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Blog, Current Investigations
Dudley Stephens – Coastal Equities – New York, NY According to publicly available FINRA records, former financial advisor Dudley Stephens has disclosed a pending customer complaint on February 20, 2019. The customer(s) allege that “Stephens’ conduct included making unauthorized trades, trading their
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March 13, 2019
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Blog
Fraud in Retirement & Brokerage Accounts on the Rise Retirement and brokerage accounts saw a rise in fraud cases in 2018, according to news reports this week. According to a recent study by the Greenwich Associates firm Javelin Strategy & Research cited by WealthManagement.com, retirement account fraud made up
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March 12, 2019
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Blog, Current Investigations
Raymond Malicki Broker Investigation According to the Financial Industry Regulatory Authority (FINRA) on March 4, the regulator has barred former Morgan Stanley broker Raymond Malicki for refusing to appear for testimony for its investigation of his departure. Last month, FINRA requested Malicki appear for testimony
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March 11, 2019
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Blog, Current Investigations
ProEquities Inc. Sanctioned for Mutual Fund Overcharges According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned broker-dealer ProEquities Inc. for alleged mutual fund overcharges. According to a Letter of Acceptance, Waiver & Consent on March 7, between January 1, 2011, and
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March 8, 2019
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Blog, Current Investigations, Securities Fraud
Former Advisor Richard Cody Sentenced for Fraud Charges According to reports today, former investment advisor Richard Cody was sentenced earlier this week in federal court in Boston for deceiving his former clients concerning the management of their retirement savings as well as lying to the U.S. Securities and
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March 5, 2019
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Blog, Current Investigations, Securities Fraud
John Gregory Schmidt to Pay $1.1 Million for Fraud Charges Have you suffered losses investing with John Gregory Schmidt? If so, the securities fraud attorneys at The White Law Group may be able to help you by filing a FINRA arbitration claim. According to a press release, Securities and Exchange Commission (SEC)
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March 4, 2019
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Blog, Current Investigations
Investor Alert: GWG L Bonds Are you concerned about your investment in GWG L Bonds? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. GWG Holdings finances its portfolio of life insurance
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February 25, 2019
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Blog, Current Investigations
Investigating Potential Lawsuits in American Hospitality Property Fund III – AHP Fund III Are you concerned about your investment in American Hospitality Property Fund III? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm
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February 19, 2019
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Blog
Cetera – NEXT Financial – Refuse Service Agreements with Ohio National According to reports on Friday, several national broker-dealers, including Cetera Financial Group and NEXT Financial Group, are reportedly refusing to sign new agreements with Ohio National Financial Services Inc., during an ongoing dispute
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February 15, 2019
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Blog, Current Investigations, Securities Fraud
Broker Investigation – Floyd Earl Powell – Albertville, AL According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor Floyd Earl Powell from associating with any FINRA member at any time. FINRA states in a Letter of Acceptance, Wavier &
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