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June 9, 2019
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Blog, Securities Fraud
Potential Pitfalls of 72 (t) – Early IRA Withdrawals The following is a breakdown of some of the basics of the 72(t) program and things to consider before doing a 72(t). Discussing plans for retirement is a daunting task. Now throw in a reference to 72(t) and most people have no idea what you are …
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March 27, 2019
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Blog, Current Investigations, Securities Fraud
Lawsuit Involves Former Broker Hector May & Alleged Ponzi Scheme According to numerous reports this week, Securities America is facing a lawsuit alleging a broker the company fired last year cost a family $18 million in losses and the company failed to supervise him. As we told you previously, Hector May pleaded
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March 13, 2019
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Blog
Fraud in Retirement & Brokerage Accounts on the Rise Retirement and brokerage accounts saw a rise in fraud cases in 2018, according to news reports this week. According to a recent study by the Greenwich Associates firm Javelin Strategy & Research cited by WealthManagement.com, retirement account fraud made up
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March 12, 2019
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Blog, Current Investigations
Raymond Malicki Broker Investigation According to the Financial Industry Regulatory Authority (FINRA) on March 4, the regulator has barred former Morgan Stanley broker Raymond Malicki for refusing to appear for testimony for its investigation of his departure. Last month, FINRA requested Malicki appear for testimony
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March 5, 2019
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Blog, Current Investigations, Securities Fraud
John Gregory Schmidt Pleads No Contest for Fraud Charges Have you suffered losses investing with John Gregory Schmidt (Greg Schmidt)? If so, the securities fraud attorneys at The White Law Group may be able to help you by filing a FINRA arbitration claim. According to a press release, Securities and Exchange
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February 19, 2019
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Blog, Current Investigations
Kestra Financial fined $225,000, will repay $1.9 Million to investors. According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Kestra Financial $225,000 and is required to pay $1.9 million in restitution for allegedly overcharging more than 3,200 mutual fund investors
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February 15, 2019
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Blog, Current Investigations, Securities Fraud
Hector May – Securities America – Recovery of Investment Losses According to reports yesterday, the Securities and Exchange Commission has barred former Securities America broker Hector May for allegedly running a $7.9 million Ponzi scheme with his daughter who served as the controller of his investment advisory
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February 14, 2019
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Blog
Pacific Gas & Electric – PG & E Investment Losses Have you suffered losses investing in PG & E Municipal Bonds? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. According to
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February 11, 2019
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Blog, Current Investigations
NorthStar Healthcare Income – Securities Investigation The White Law Group continues to investigate potential claims involving the liability that broker-dealers may have for improperly recommending high risk, non-traded REITs such as NorthStar Healthcare Income Inc. to investors. According to recent filings
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February 11, 2019
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Blog, Current Investigations
Recovery of Investment Losses in Atlas Resources Series 34-2014 LP The White Law Group continues its investigation into the liability that FINRA registered broker-dealers may have for unsuitably recommending Atlas Resources Series 34-2014 or other Atlas offerings to investors. Atlas Resources Partners LP filed for
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