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February 1, 2019
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Blog, Current Investigations
Securities Investigation – Atlas Eagle Ford 2015 L.P. Have you suffered losses in Atlas Eagle Ford 2015 L.P.? If so, the securities attorneys at The White Law Group may be able to help. Atlas Resource Partners LP filed for bankruptcy protection on July 26, 2017 and joined dozens of struggling oil and gas
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January 29, 2019
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Current Investigations
Update on Woodbridge Ponzi Scheme According to a press announcement on Jan. 28, 2019, a federal court in Florida reportedly ordered Woodbridge Group of Companies LLC and its former owner to pay $1 billion in penalties and disgorgement for allegedly operating the Woodbridge Ponzi scheme that targeted retail
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January 25, 2019
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Blog, Securities Fraud
FINRA warns about online platforms and other issues affecting investors The Financial Industry Regulatory Authority (FINRA) is a not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. In FINRA’s most recent annual
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January 24, 2019
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Current Investigations
UIT Switching Cost Hennion & Walsh Customers $300,000 According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Hennion & Walsh, a broker-dealer located in Parsippany, New Jersey after an investigation involving unsuitable sales of Unit Investment Trusts. According to the
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January 19, 2019
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Blog, Current Investigations
Immune Pharmaceuticals – Securities Investigation Are you concerned about your investment in Immune Pharmaceuticals? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. Immune Pharmaceuticals
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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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