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November 18, 2011
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Blog, Securities Fraud
Investmentnews.com recently published a list of the largest non-traded REITs by invested assets. President of MTS Research Advisors gave quoted commentary on the status of non-traded REITs in general. Stubben notes that while some nontraded REITs “have shown strong operating performance throughout their history, the
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October 19, 2011
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Blog, Securities Fraud
Did you suffer losses due to your purchase of Freddie Mac or Fannie Mae preferred stock before the government intervention in the fall of 2008? If you did, the attorneys of The White Law Group may be able to help you recover your investment losses through FINRA arbitration. There is still time to recover these
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October 14, 2011
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Blog, Securities Fraud
According to the investmentnews.com the National Association of Insurance Commissioners’ joint executive committee plenary, “voted recently to adopt amendments to an annuity disclosure model that would give customers a detailed breakdown of product features.” The National Association of Insurance Commissioners
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September 20, 2011
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Blog, Securities Fraud
According to a CFTC public release, the CFTC alleges that Paron Capital Management, LLC (Paron) and a member of the firm “during a March 2011 NFA audit… made false, fictitious, or fraudulent statements to prevent the NFA from discovering that they were using fraudulent promotional materials to solicit clients to
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September 14, 2011
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Blog, Securities Fraud
Anand Chokkavelu recently wrote an interesting opinion piece for The Motley Fool about REITs that may be in trouble if regulations of REITs were to ever change. He states his belief that those REITs with the highest leverage would be most at risk. The White Law Group continues to monitor REITs sold by brokerage firms
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September 7, 2011
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Blog, Securities Fraud
Have you suffered investment losses in forex futures trading? If so, The White Law Group may be able to help. The White Law Group is investigating potential forex fraud claims on behalf of investors who were inappropriately invested in forex futures. Although commodities and futures investing is complex and risky,
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September 2, 2011
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Blog, Securities Fraud
Andrew Haigney recently wrote an interesting article for businessinsider.com where he called investment advice “one of the greatest scams of our time.” His motivation for writing his article was to expand on the theme of Yale University’s Chief Investment Officer David Swensen’s August NY Times Opinion piece
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August 3, 2011
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Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) announced that it has fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that effectively misled some investors regarding the “principal protection” feature of 100%
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May 16, 2011
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Blog, Securities Fraud
Purshe Kaplan Sterling Investments, Inc. (CRD #35747, Albany, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $100,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it failed
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November 24, 2010
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Blog, Securities Fraud
In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered in Houston, Texas, $1 million for supervisory violations that primarily involved the failure to supervise its approximately 130 Office of Supervisory Jurisdiction (OSJ) branch managers, who typically supervise transactions and sales
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