Month: April 2012
Merrill Lynch ordered to pay deferred compensation benefits
A three-person Financial Industry Regulatory Authority Inc. panel recently awarded two former Merrill Lynch financial advisors over $10...
David Lerner fined over municipal bond and CMO transactions.
A Financial Industry Regulatory Authority Inc. hearing panel recently ordered David Lerner to pay more than $3.7 million in fines and...
Recovery of BIG Income & Opportunity Fund Investment Losses
Have you suffered investment losses in the BIG Income and Opportunity Fund? If so, The White Law Group may be able to help you recover...
State Street Corp. fined over CDO Role
According to reports, the Massachusetts Secretary of State has fined a unit of State Street Corp. $5 million for its role in a...
Recovery of Harrisburg Municipal Bond Losses
Have you suffered investment losses in a Harrisburg, Pennsylvania municipal bond? If so, The White Law Group may be able to help you...
SEC Issues Alert on Municipal Securities
The Securities and Exchange Commission recently issued a Risk Alert on compliance measures to help broker-dealers fulfill their...
