Tag: stock fraud
Recovery of Mutual Fund Investment Losses
If you have suffered investment losses in a mutual fund recommended to you by your financial advisor or stockbroker, The White Law Group...
Recovery of Hedge Fund Investment Losses
If you have suffered investment losses in a hedge fund recommended to you by your financial advisor or stockbroker, The White Law Group may...
Recovery of Ultra ProShares Investment Losses
The White Law Group is investigating securities fraud claims involving ProShares Funds and other Exchange Traded Funds (ETFs) sold to...
FINRA Fines For Mutual Fund Sales Practices
In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA’s (then...
Janney Montgomery Scott Regulatory History and Sales Practices
Established in 1832, Janney Montgomery Scott is a Philadelphia, Pennsylvania based FINRA broker-dealer. Janney Montgomery Scott has from...
Information Regarding Waddell & Reed’s Sales Practices
Waddell & Reed’s sales practices have been the subject of regulatory inquiry on several occasions. Back in 2005, FINRA resolved its...
