Author: The White Law Group
SEC Examines only 1 in 5 Registered Investment Advisors (RIAs) in 2021
The SEC Examines only 16% of RIAs in 2021, doesn’t expect the number to increase in the future. According to an article in Investment...
SEC Charges Cambridge Investment Research with Conflicts of Interest
SEC Alleges Cambridge Investment Research Breached its Fiduciary Duty with Mutual Fund Overcharges According to a press release on March...
Broker Joseph DeGregorio Charged with Fraud
SEC Reportedly Charges Joe DeGregorio with Defrauding Elderly Clients According to the U.S. Securities and Exchange Commission, on...
Sierra Income Corp. Completes Merger with Barings BDC Inc. (BBDC)
Sierra Income Corp. BDC Merges with traded BDC after NAV Declines Sierra Income Corporation and Barings BDC Inc. (NYSE: BBDC) have...
Seven Individuals Indicted in Syndicated Conservation Easement Tax Scheme
DOJ Alleges $1.3 Billion in Fraudulent Tax Deductions According to press release on March 1, 2022, the US Department of Justice...
Broker Warren Rowe Jr. Barred from the Securities Industry
Oppenheimer Broker Warren Ellewood Rowe Jr. Barred after Allegations of taking Loans from Customers According to the Financial Industry...
