Author: The White Law Group
Purshe Kaplan Charged with Failure to Supervise Harvest Group’s ETF Sales
Mass. Regulators Charge Purshe Kaplan with Failure to Supervise Harvest Group’s Sales of Leveraged ETFs On February17, 2022,...
Risk Alert: SEC finds RIAs Fee Calculations Harmful to Investors
Registered Investment Advisors Fee Calculations found Lacking According to a Risk Alert published by the SEC On November 10, 2021, the...
Infinity Q Capital Founder Charged with Massive Fraud
SEC says Infinity Q’s Founder Overvalued Fund Assets by More than $1 Billion, Pocketing Millions According to a press release on Feb....
O.N. Investment Management Reportedly Fined
SEC Sanctions O.N. Investment Management Company for Overcharges According to an administrative release posted on January 11, the SEC...
FINRA Award: JP Morgan to pay $1.4 Million to Financial Advisor
FINRA Panel orders JP Morgan to pay Advisor $1.4 Million for Damages According to a FINRA award posted on February 4, 2022, a FINRA...
Franklin BSP Realty Trust (FBRT) Series F Shares Tender Offer
Franklin BSP Realty Trust (FBRT) Shareholders may have Claims The White Law Group continues to investigate potential securities...