-
December 11, 2017
Comments (0)
Blog, Current Investigations
L-share Annuity – Investment Losses An L-Share Annuity is a common share class offered by a variable annuity that has a short surrender period but with higher administrative costs. Typically, with an L-Share annuity, you will pay a higher mortality, expense and administration (MEA) fee and likely get a lower
Read More »
-
June 21, 2017
Comments (0)
Current Investigations
Investigating Potential Claims involving Buffered STEEPLS Have you suffered losses investing in Buffered STEEPLS (Strategic Equity Exposure Performance Linked Securities) sponsored by Bank of America? If so, the attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration
Read More »
-
March 4, 2013
Comments (0)
Blog, Securities Fraud
The White Law Group continues to investigate potential FINRA arbitration claims against the broker-dealers that may have improperly sold Sala-Multi Series Fund and Foresee Strategies Insurance Funds. The hedge funds, Foresee Strategies Insurance Fund, were issued by Sun Life Financial as variable annuity subaccounts
Read More »
-
March 28, 2012
Comments (0)
Blog, Securities Fraud
Wadsworth Investment Co. reportedly has been told by the Connecticut state Department of Banking that it has “…90 days to make changes in its operation or risk losing its broker-dealer registration.” The report from the local news outlet myrecordjournal.com, further indicates that a Feb.7th ruling ordered
Read More »
-
March 26, 2012
Comments (0)
Blog, Securities Fraud
According to the Orange County Register, Marc Duda, a former financial adviser, had his sentencing related to charges that he “…bilked investors out of more than $2.5 million…” continued in February and rescheduled for March 26th. Prosecutors in the case are said to be seeking 63 months in prison. The White
Read More »
-
March 22, 2012
Comments (0)
Blog, Securities Fraud
Did you suffer losses due to your purchase of the Lexington Capital Funding III Collateralized Debt Obligation (CDO) through Merrill Lynch or another FINRA member brokerage firm? 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
Read More »
-
March 22, 2012
Comments (0)
Blog, Securities Fraud
According to SEC documents, Arthur Lin, a former LPL Financial registered representative has been accused of selling “…$5,360,000 in unregistered promissory notes issued by Malarz Equity Investments, LLC to at least 20 investors, including 15 LPL customers.” Investors who have suffered losses as a result of
Read More »
-
February 27, 2012
Comments (0)
Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) outlined a list of investment products that they will be watching closely in 2012 because they feel that “concerns relative to business conduct and suitability issues are heightened.” This list of investment products comes from FINRA’s January letter outlining
Read More »
-
February 24, 2012
Comments (0)
Blog, Securities Fraud
The White Law Group is announcing an investigation into the potential for investors who suffered investment losses due to their dealings with Aaron Vallett, a former financial advisor from Tennessee, to recover their losses through the Financial Industry Regulatory Authority (FINRA) dispute resolution process. It was
Read More »
-
February 13, 2012
Comments (0)
Blog, Securities Fraud
According to a recent study, it appears that many financial professionals “tend to overstate their qualifications and services.” The investmentnews.com recently reported on the study done by Cerulli Associates Inc. in which they studied the responses of upwards of 1,500 “financial intermediaries.” A Cerulli
Read More »
