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December 14, 2010
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Blog, Securities Fraud
In the beginning of 2010, Arthur Leroy Heffelfinger, a former financial advisor with KMS Financial Services, Inc., was arrested in Montana on a felony charge of exploitation of an older person amid allegations he raided the account of a woman in her 90s to sustain a Ponzi scheme he had been operating for years.
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December 6, 2010
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Blog, Securities Fraud
The White Law Group is currently investigating certain Bank of America structured investments. It appears that these products, notwithstanding their risk of loss, were represented as safe and appropriate for someone looking to protect their principal. The structured products the firm is investigating includes, but
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September 17, 2009
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Blog, Securities Fraud
FINRA recently announced that Penson Financial Services, Inc. has been fined $38,000 and ordered to pay $22,663, plus interest, in restitution to customer, and required to revise its written supervisory procedures with respect to TRACE reporting requirements. Without admitting or denying the findings, Penson Financial
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