Author: The White Law Group
UQM Technologies, Inc. Securities Investigation
UQM Technologies Investigation According to a press release on July 31, 2019, UQM Technologies, Inc. (NYSE American: UQM), a...
FINRA Sanctions IBN Financial Services for Supervisory Failures
IBN Financial Services Censured and Fined $30,000 for Supervisory Failures According to a Letter of Acceptance, Waiver and Consent, the...
SEC Charges Four Firms with Municipal Bond Disclosure Failures
SEC says Oppenheimer, BNY Mellon Capital Markets, TD Securities (USA) and Jefferies LLC Failed to Comply with Municipal bond Offering...
Reverse Churning: When your Broker Collects a Fee for doing Nothing
Investor alert: Fee-based Accounts may not be in your Best Interest Did your broker transition you from a commission-based to fee-based...
Hines Sentio Senior Living Opportunity Fund LP: Securities Investigation
Investigating Claims involving Hines Sentio Senior Living Opportunity Fund LP The White Law Group is investigating potential securities...
Waddell & Reed to Pay $776K Over ‘Reverse Churning’ Charges
SEC Hits Waddell & Reed for Overcharging Clients in Wrap Fee Programs According to the Securities and Exchange Commission this...