Author: The White Law Group
Cetera to pay $185,000 to settle SEC charges
Cetera Investment Advisers Sanctioned for Solicitation Disclosure Violations Cetera Investment Advisers LLC will reportedly pay a penalty...
Marty Batstone Barred by FINRA
Financial Advisor Marty Batstone, Independent Financial Group in San Diego, CA Are you concerned about investments with Marty Batstone in...
Lightstone Real Estate Income Trust Investigation
Lightstone Real Estate Income Trust lowers distributions The White Law Group continues to investigate claims involving broker dealers who...
Hilltop Securities Censured & Fined $250,000
FINRA Sanctions Hilltop Securities, Dallas, Texas According to the public records on FINRA’s website, on September 23, 2019, the...
Renewable Energy and Power Inc. Securities Fraud Investigation
SEC files charges in $3.1 Million alleged Boiler–Room Scheme, Central Islip, New York According to a press release on Monday, the...
Newbridge Securities Censured & Fined $225,000
FINRA Sanctions Newbridge Securities, Boca Raton, FL According to a Letter of Acceptance, Waiver and Consent, on September 26, 2019, the...
