Author: The White Law Group
HSBC and Scotiabank Fined for Recordkeeping Violations
SEC Hits HSBC and Scotiabank with Hefty Fines for Recordkeeping Violations According to the Securities and Exchange Commission, the...
Merrill Lynch Sanctioned for Cold Calling Violations
Two Securities Regulators Fine Merrill Lynch $1.4 Million for Cold Calling Violations According to Investment News on May 4, 2023, Merrill...
Classic Asset Management LLC Fined for Leveraged ETFs
SEC Charges ND Advisory Firm Classic Asset Management and Advisor with Unsuitable Leveraged ETFs According to an announcement on May 4,...
Stifel Broker Joseph Crespi Allegedly Churned Accounts
Stifel Nicolaus & Company to Pay $3.2 Million According to the Massachusetts Secretary of the Commonwealth William Galvin on May 1,...
Tyler Rigsbee, Wells Fargo Broker, Sentenced for Fraud Scheme
Ex-Wells Fargo Broker Tyler Rigsbee Allegedly Stole from Elderly Clients According to a press release on May 1, 2023, financial advisor...
Wells Fargo Clearing Services Lawsuit
The White Law Group Files a Claim against Wells Fargo Clearing Services The White Law Group announces the filing of a FINRA arbitration...