Tag: stock fraud
Possible Securities Fraud Involving DLG and Lighthouse Capital
The White Law Group is investigating a securities fraud claim involving a recommendation made by Lighthouse Capital Corporation to invest...
Gilman Ciocia and Prime Capital Services censured by the SEC
The Securities and Exchange Commission (SEC) recently announced that it has censured Gilman Ciocia and its Prime Capital Services unit for...
Penson Financial Services fined by FINRA for securities violations
FINRA recently announced that Penson Financial Services, Inc. has been fined $38,000 and ordered to pay $22,663, plus interest, in...
Financial Fraud Often Aimed at Seniors
According to Jennifer Levitz’s May 19, 2009 article in the Wall Street Journal, “Laws Take on Financial Scams Against Seniors,”...
