Month: November 2017
FINRA Censures Cetera Investment Services for Overcharges
Cetera Investment Services will pay remediation to customers over mutual fund sales-charge waivers. According to the Financial Industry...
Ohio Advisor John P. Correnti Barred from Securities Industry
John P. Correnti Reportedly Failed to Provide Information for FINRA’s Investigation According to the Financial Industry Regulatory...
Golden State Income Fund VI – Securities Investigation
Investigating Potential Claims Involving Golden State Income Fund VI The White Law Group is investigating the liability broker-dealers may...
Pagoda Pharma Group – Private Placement – Securities Investigation
Pagoda Pharma Group – Investigating Potential Claims The White Law Group is investigating potential claims involving broker-dealers who...
Gemini Opportunity Fund III – Private Placement – Investment Losses
Investigating Potential Claims Involving Gemini Opportunity Fund III Have you suffered losses investing in Gemini Opportunity Fund III? If...
Wells Fargo Advisors Fined $3.5 Million for Reporting Violations
SEC Fines Wells Fargo Advisors $3.5 Million for Reporting Violations The Securities and Exchange Commission imposed a $3.5 million penalty...
