Author: D. Daxton White
Callaway Financial Services fined by FINRA
Callaway Financial Services, Inc. (CRD #104003, Arlington, Texas) and Corey Neil Callaway (CRD #1279194, Registered Principal, Arlington,...
National Securities Corporation fined by FINRA
National Securities Corporation (CRD #7569, Seattle, Washington) and Matthew G. Portes (CRD #4995542, Registered Principal, Chicago,...
Update on David Lerner / Apple REIT Investigation
The White Law Group has spent the last few months reviewing documents and information regarding the Apple REIT investments sold by David...
SunTrust fined over auction rate securities
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined SunTrust Robinson Humphrey, Inc. (SunTrust RH) and...
SEC Warning: Structured Products, Reverse Convertible Notes
Broker-dealers have been engaging in sales practices for structured securities products that hurt retail investors, according to a...