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January 10, 2019
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Blog
8 Firms hit with FINRA Fines in 2018 According to Investment News, the Financial Industry Regulatory Authority (FINRA) hit the following 8 firms with multi-million dollar fines in 2018. Wedbush Securities – In February, FINRA fined Wedbush Securities $1.5 million for net capital deficiencies and for failing to
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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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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 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 12, 2018
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Blog
Crude oil fell below $60 for the first time since March. Oil prices hit a six-month low on Friday afternoon as global stocks closed on their biggest drop in two weeks. According to reports, Benchmark Brent crude oil fell below $60 for the first time since March after entering a bear market on Thursday. Some …
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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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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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September 15, 2018
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Blog, Current Investigations, Securities Fraud
Investigating Potential claims – PolarityTE The White Law Group is investigating potential claims involving broker dealers who may have unsuitably recommended PolarityTE to investors. If you are concerned about your investment in PolarityTE, the securities attorneys at The White Law Group may be able to help
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September 15, 2018
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Blog
Investigating Potential claims – MGT Capital Investments The White Law Group is investigating potential claims involving broker dealers who may have unsuitably recommended MGT Capital Investments to investors. If you are concerned about your investment in MGT Capital Investments, the securities attorneys at The
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