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November 30, 2018
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Blog, Current Investigations, Securities Fraud
Broker Investigation – Scott Newsholme The White law Group is continuing its investigation into former financial advisor Scott Newsholme. According to reports last week, New Jersey broker Scott Newsholme was sentenced on November 20 to eight-and-half years in prison for allegedly defrauding clients out of more
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November 20, 2018
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Blog, Securities Fraud
The White Law Group has filed a FINRA Claim against Taylor Capital Management The White Law Group has filed and submitted a FINRA claim on behalf of a North Carolina resident alleging claims for violation of common law fraud, breach of fiduciary duty, negligence, and negligent supervision against Taylor Capital
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November 16, 2018
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Blog, Current Investigations
Update on Richard Cody – Broker Investigation According to reports, former financial advisor Richard Cody pled guilty today to criminal charges filed by the U.S. Attorney for the District of Massachusetts. As we previously told you, the SEC filed charges against Cody in December 2016, alleging that Cody defrauded at
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October 26, 2018
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Blog
Alex G. Herrera – UBS Financial – Coral Gables, FL According to a press release, UBS Financial Services is facing a claim that it failed to supervise one of its former brokers, Alex G. Herrera who allegedly spent a client’s money to build a vacation home for himself. Alex G. Herrera, of Coral Gables, Fla.,
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October 5, 2018
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Blog
Investigating Potential claims – Biozone Pharmaceuticals (Cocrystal Pharma) The White Law Group is investigating potential claims involving broker dealers who may have unsuitably recommended Biozone Pharmaceuticals to investors. Biozone Pharmaceuticals is a clinical stage biotechnology company engaged in the
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October 5, 2018
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Blog, Current Investigations, Securities Fraud
Broker Suhail Khan – LPL Financial – Chicago, IL Are you concerned about your investments with former financial advisor Suhail Khan? 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 barred former
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October 1, 2018
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Blog, Current Investigations, Securities Fraud
Austin Dutton & Newbridge Securities – Update on Investigation The White Law Group continues its investigation regarding financial advisor Austin Dutton and the liability that Newbridge Securities may have for failure to supervise him. As we told you in July 2017, Dutton was fined $200,000 for allegations of
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October 1, 2018
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Blog
Securities Investigation – Carter Validus Mission Critical REIT Are you concerned about Carter Validus Mission Critical REIT losses? If so, the securities attorneys at The White Law Group may be able to help your recover your losses by filing a FINRA claim against the brokerage firm that sold you the investment.
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September 27, 2018
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Blog, Securities Fraud
Voya Financial Advisors – SEC charges involve recent cybersecurity breach. According to the Securities and Exchange Commission yesterday, the regulator has censured and fined Voya Financial Advisors $1 million regarding a data security breach that allegedly compromised the personal information of thousands of
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September 25, 2018
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Blog, Current Investigations, Securities Fraud
John Greg Schmidt – Wells Fargo – Dayton, Ohio According to a press announcement today, the Securities and Exchange Commission charged Ohio financial advisor John Greg Schmidt with allegedly defrauding his retail brokerage customers, some of whom were elderly, out of at least $1 million. According to the
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