Author: D. Daxton White
Peterson Investments, Inc. fined by FINRA over supervisory system.
Petersen Investments, Inc. (CRD #38537, Wall, New Jersey) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...
Morgan Stanley fined by FINRA over structured products.
Morgan Stanley & Co. LLC (CRD #8209, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
Recovery of Lehman Return Optimization Security Note Losses
Have you suffered investment losses in a Lehman Return Optimization Security Note? If so, The White Law Group may be able to help you...
Morgan Keegan Auction Rate Securities Lawsuit Reinstated
According to Bloomberg News, a SEC lawsuit alleging Morgan Keegan & Co. brokers misled investors about the liquidity risk of...
UBS AG Fined Over Mutual Fund Sales
It is being reported that, UBS AG will pay $26.6 million to resolve U.S. regulatory claims its Puerto Rico-based brokerage unit sold shares...
Recovery of Maluhia Eight, LLC Losses
Have you suffered investment losses in Maluhia Eight, LLC (a Hawaii real estate deal)? If so, The White Law Group may be able to help you...