Author: D. Daxton White
FINRA Fines Ameriprise for Reverse Convertible Notes
The Financial Industry Regulatory Authority (FINRA) has fined H&R Block Financial Advisors (now Ameriprise Advisor Services) $200,000...
Recovery of Schwab YieldPlus Investment Losses
The White Law Group is investigating securities fraud claims involving the ultra-short bond funds Schwab YieldPlus (SWYPX) and Schwab...
Securities Fraud Investigation Involving CIT InterNotes
The White Law Group is investigating a possible securities fraud claim on behalf of an investor involving a recommendation made by Chase...
FINRA Fines Atlanta based broker-dealer SunTrust Investment Services
FINRA recently today that it has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related...
Securities Fraud Investigation Involving Retained Asset Accounts
The White Law Group is investigating possible securities fraud claims involving retained asset accounts. Retained asset accounts are...
Penson Financial Services and Pinnacle Capital Markets fined by FINRA.
In February 2010, the Financial Industry Regulatory Authority (FINRA) announced that it had fined Penson Financial Services, a Dallas-based...