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February 22, 2019
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Blog, Current Investigations
Rock Hill Associates LP Secondary Market Offer Are you concerned about your investment in Rock Hill Associates LP? If so the securities attorneys at The White Law Group may be able to help you by filing a FINRA Resolution Claim against the brokerage firm that sold you the investment. According to an announcement in
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January 21, 2019
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Blog, Securities Fraud
Press Release: The White Law Group files a FINRA Claim against NYLIFE Securities alleging unsuitable investments in Future Income Payments & Woodbridge. The FINRA claim was filed on January 4, 2019 by The White Law Group and submitted on behalf of an Indiana resident alleging claims for violation of common law
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December 14, 2018
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Blog, Current Investigations
FINRA Examination Findings: firms need to tighten up supervisory systems. Last Friday, the Financial Industry Regulatory Authority announced examination findings that many brokerage firms have been recommending unsuitable investments without considering the impact that cumulative fees, sales charges and commissions
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June 21, 2017
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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
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March 4, 2013
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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
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February 27, 2012
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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
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February 13, 2012
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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
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February 6, 2012
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Blog, Securities Fraud
Have you suffered investments losses or fear you have been the victim of securities fraud due to your investment with Kale Edgar Evans while he was registered with a Financial Industry Regulatory Authority (FINRA) member firm? If so, The White Law Group may be able to assist you recover your damages through the FINRA
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January 26, 2012
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Blog, Securities Fraud
According to an article in the Financial Post, Henry Cole, a former financial advisor for RBC, the investment banking arm of the Royal Bank of Canada, has been sentenced to two and a half years in prison on fraud charges in Ontario, Canada. Cole has reportedly “admitted to using deception and forged signatures to
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January 23, 2012
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Blog, Securities Fraud
The SEC recently released an “investor alert” with the goal of helping “investors be better aware of fraudulent investment schemes that may involve social media.” The SEC acknowledges in the alert that social media has become an important tool for the investing public to accumulate information about all facets
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