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Author: The White Law Group

Blog, FINRA SEC Sanctions

3 Cetera Firms to pay $1 Million for Supervisory Issues

FINRA Censures and Fines Cetera for Alleged Supervisory Issues According to a Letter of Acceptance Waiver and Consent (AWC) signed December...

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Blog, Current Investigations

Christopher Fernan Barred from Securities Industry

FINRA Reportedly Bars Christopher Fernan after Alleged Dismissal from Salomon Whitney  According to a Letter of Acceptance Waiver and...

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Blog, Current Investigations

iMATCHative, Inc. Securities Investigation

Investigating Claims Involving iMATCHative, Inc.   The White Law Group is investigating potential securities claims involving broker...

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Blog, Current Investigations

RBC Capital Markets LLC to pay Investors for 529 Savings Plan Overcharges

RBC Capital Markets’ Supervisory Failures result in almost $700,000 in Overcharges According to a Letter of Acceptance Waiver and Consent...

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Blog, Current Investigations

D.A. Davidson & Co. Advisor Kathleen Bott Barred from Securities Industry

FINRA Reportedly Investigates Former D. A. Davidson Advisor Kathleen Bott for Alleged Theft of Funds According to a Letter of Acceptance...

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Blog, Current Investigations

Investor Alert: Power 5 Conference Student Housing I DST

Power 5 Conference Student Housing I DST, Securities Investigation Are you concerned about your investment in Power 5 Conference Student...

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