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September 19, 2019
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Current Investigations
Financial Advisor Scott Gunnip, Morgan Stanley in South Lake, Texas Are you concerned about investments with Scott Gunnip in South Lake, Texas? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. According to public disclosures on FINRA’s
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September 18, 2019
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Blog, Current Investigations
Financial Advisor Halil Kozi, PHX Financial in New York, NY Are you concerned about investments with Halil Kozi (Hal Kozi) in New York, NY? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. According to FINRA complaint filed on September 17,
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September 18, 2019
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Blog, Current Investigations
Raymond James Settles SEC Charges for Improper Advisory Fees According to a press announcement yesterday, Raymond James & Associates, a unit of Raymond James Financial Inc., has agreed to pay $15 million to settle charges it improperly charged advisory fees on inactive retail client accounts and charged excess
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September 17, 2019
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Blog, Current Investigations
Donald E. Teboe, Cantella & Co. in Clinton, MI Are you concerned about investments with Donald E. Teboe in Clinton, MI? If so, the securities attorneys at The White Law Group may be able to help you. According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial
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September 17, 2019
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Current Investigations
SEC reportedly charges RIA McDermott Investment Advisors with UIT overcharges According to theSecurities and Exchange Commission, the regulator has charged McDermott Investment Advisors and its chief executive for allegedly defrauding clients by purportedly charging improper transaction costs related to unit
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September 16, 2019
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Current Investigations, Securities Fraud
Jack D. Stone, Forest Securities in Hillside, IL Are you concerned about investments with Jack D. Stone in Hillside, IL? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. According to the Financial Industry Regulatory Authority (FINRA), the
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September 11, 2019
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Blog, Current Investigations
Apostolos Pitsironis (Paul Pitsironis), Janney Montgomery Scott, Melville, NY Are you concerned about investments with Apostolos Pitsironis 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. According to the Financial Industry
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September 11, 2019
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Blog, Current Investigations
Michael Barry Carter (Mike Carter), Morgan Stanley, Mclean, VA Are you concerned about investments with Michael Barry Carter in Mclean, VA? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. According to the Financial Industry Regulatory Authority
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September 10, 2019
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Blog, Current Investigations
Michael J. Resciniti, Spartan Capital Securities in Garden City, NY Are you concerned about investments with Michael J. Resciniti in Garden City, NY? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. According to the Financial Industry Regulatory
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September 10, 2019
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Blog, Current Investigations
Darren M. Kubiak, Kalos Capital – Lawrenceville, GA Are you concerned about your investments with Darren M. Kubiak in Lawrenceville, GA? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. According to a Letter of Acceptance, Waive & Consent,
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