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October 13, 2017
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Blog
Steven John Meyer, Recovery of Investment Losses According to the Financial Industry Regulatory Authority, Steven John Meyer of Staten Island, New York, has been barred from the securities industry. In August, Steven John Meyer was barred by The State New Hampshire State Securities Bureau for allegations of
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April 25, 2017
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Blog
FINRA Tightens Sanctions on Churning In April 2017, the Financial Industry Regulatory Authority announced that it had revised its sanction guidelines for violations of its rules. The revisions include changes relating to rule violations that involve churning or unauthorized transactions. What is Churning? As we have
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April 18, 2017
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Current Investigations
The White Law Group announces the filing of a FINRA Arbitration claim against Cetera Advisors, LLC. The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against Cetera Advisors, LLC involving high risk oil & gas investments. This claim
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April 17, 2017
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Current Investigations, Securities Fraud
Recovery of Investment losses from Churning Fraud Churning fraud is defined as an unethical practice employed by some financial advisors to increase their commissions by excessively trading in a client’s account. This practice violates various FINRA Rules and is often referred to as excessive trading. FINRA Rule
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April 6, 2017
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Current Investigations
Concerned about investment losses with your broker? If you suspect your account has been excessively traded, your broker may be churning your account. But how can you be certain? According to the SEC, churning occurs when a broker engages in excessive buying and selling of securities in a customer’s account
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March 2, 2017
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Blog, Current Investigations
If you suffered losses investing in New York REIT, The White Law Group may be able to help. According to their website, New York REIT is a publicly traded real estate investment trust focused on acquiring and operating commercial real estate in New York City. The company seeks to provide its shareholders with
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March 1, 2017
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Current Investigations
Concerned about investment losses in Cypress Equipment Fund IX LLC? Have you suffered investment losses in Cypress Equipment Fund IX LLC? If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. Cypress
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February 27, 2017
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Securities Fraud
Concerned about investment losses with Austin W. Morton? According to The Financial Industry Regulatory Authority, financial advisor Austin W. Morton has been charged with stealing $36,000 from an 83-year-old man with dementia. Morton, advisor with Edward Jones, allegedly took more than $22,000 that the customer left
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February 23, 2017
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Current Investigations
Financial Advisor Gopi Vungarala sells $190 million in non-traded REITs and BDCs to Native American Tribe According to FINRA, Purshe Kaplan Sterling Investments will pay close to $3.4 million in restitution to a Native American tribe. The tribe paid excessive sales charges on purchases of non-traded real estate
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February 23, 2017
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Current Investigations
Concerned about investment losses in Barclays Bank PLC Trigger Phoenix Autocallable Optimization Securities (PAOS) offered by UBS? Have you suffered losses investing in Barclays Bank PLC Trigger Phoenix Autocallable Optimization Securities? If so, The White Law Group may be able to help you recover your losses by
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