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January 15, 2019
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Blog, Securities Fraud
How is the Government Shutdown Affecting the SEC? As you surely know by now, thousands of workers have been furloughed as a result of the U.S. government shutdown on December 22. All “nonessential” functions have been paused as President Donald Trump and congressional leaders try to reach an agreement. The
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January 14, 2019
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Blog, Current Investigations
FINRA Complaint Alleges Dennis Allen Hayes was “Selling Away” According to FINRA, the regulator’s Department of Enforcement has filed a complaint on January 11 against former financial advisor, Dennis Allen Hayes, for allegedly “selling away.” The complaint alleges that between March 2010 and June 2016 while
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January 2, 2019
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Blog, Current Investigations, Securities Fraud
Concerned about your investments with Jerry Wayne Simpson? According to news reports, between March 2016 and October 2017, former financial advisor Jerry Wayne Simpson allegedly stole $400,000 from his clients. According to the indictment, Simpson allegedly forged a clients’ name on paperwork requesting to have
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January 2, 2019
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Blog, Current Investigations, Securities Fraud
John Greg Schmidt – Securities Fraud Investigation According to news reports last week, former financial advisor John Greg Schmidt was indicted on 128 felony counts and is reportedly incarcerated in Montgomery County Jail, in Dayton, Ohio. Schmidt was reportedly working at Schmidt Investment Strategies Group
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January 2, 2019
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Blog
Financial Advisor Fees According to a recent article on Yahoo Finance, more than one in five investors don’t know what they pay in investment fees, according to a survey by Personal Capital. Another 10 percent don’t even know if they’re paying any fees at all. Financial advisors are getting paid for
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December 28, 2018
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Blog
FINRA – Essential Investor Tips for 2019 The Financial Industry Regulatory Authority (FINRA) just released an Investor Alert on essential investor tips for 2019. Begin your retirement planning. If you continue to wait until you have enough money to save for retirement, you may never save a dime. Talk to your
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December 27, 2018
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Blog, Current Investigations, Securities Fraud
Stifel Nicolaus & Co to pay $300,000 for Alleged Scheme According to reports, Massachusetts’ regulators led by Secretarty of State William Galvin, has gone after the broker-dealer Stifel, Nicolaus & Co. and an investment advisor with whom the firm had a deal to handle all his clients’ trading.
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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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