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May 17, 2019
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Blog, Current Investigations
Mark Hopkins, American Portfolio Financial Services, Grand Blanc, MI According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Mark Hopkins, a former financial advisor in Grand Blanc, MI, from associating with any FINRA member at any time. Without admitting or denying the
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May 3, 2019
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Blog, Current Investigations
John W. Cutshall of Lombard Securities Barred Have you suffered losses investing with John W. Cutshall in Woodsboro, MD? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against his employer. FINRA filed a complaint against Cutshall alleging that
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May 2, 2019
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Blog, Current Investigations
Lawsuit involving Barred Broker Francesco Puccio & AXA Advisors Are you concerned about investments made with former financial advisor Francesco Puccio? If so, the securities attorneys at The White Law Group may be able to help you. According to a FINRA arbitration award posted on April 25, 2019, an elderly couple
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May 1, 2019
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Blog, Current Investigations
Recovery of Investment Losses in Cypress Income Fund 11 Are you concerned about your investment in Cypress Income Fund 11? White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. Cypress Financial Corporation is a
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April 29, 2019
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Blog, Current Investigations, Securities Fraud
FINRA Claim reportedly filed against Christopher C. Burtraw Have you suffered losses investing with Christopher C. Burtraw in Lakewood, Co? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against his former employers. According to a public document on
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April 26, 2019
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Current Investigations
Zachary Berkey, Broker – Four Points Capital Partners Have you suffered losses investing with Zachary Berkey in Melville, NY? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against his employer. According to a press announcement on April
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April 25, 2019
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Current Investigations
FINRA Suspends Broker James Bashaw for Allegedly Borrowing Money from Client According to The Financial Industry Regulatory Authority today, the regulator has suspended and fined James Bashaw, a former LPL Financial broker, for allegedly borrowing close to $200,000 from a client in 2013. Bashaw, who has worked in the
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April 24, 2019
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Current Investigations, Securities Fraud
Alex Ford, Former NYLife Securities Rep Charged with Fraud Have you suffered losses investing with Alex Ford and NYLife Securities in Raleigh, North Carolina? If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA Dispute Resolution Claim. According to
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April 22, 2019
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Blog
Investor Alert: Variable Annuity Sales Increase in 2018 According to an article in Investment News today, independent broker-dealers saw a rise in sales of variable annuities last year, with 39% of overall VA sales in 2018. Independent broker-dealers sold $39.4 billion of variable annuities in 2018, an increase of
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April 19, 2019
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Blog, Current Investigations, Securities Fraud
James B. Schwartz, Former Financial Advisor with Aegis Capital Corp. Investigated for Churning Have you suffered investment losses with James B. Schwartz in Melville, New York? If so, the securities attorneys at The White law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim.
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