Author: The White Law Group
FINRA New Review Process – Broker Background Checks
FINRA will conduct a public records search within 15 days of an applicant’s Form U4 filing. According to the Financial Industry...
Securities Investigation – ProShares Trust PSHS Short S&P 500 ETF
Investor Alert – ProShares Trust PSHS Short S&P 500 ETF Have you suffered losses investing in ProShares Trust PSHS Short S&P...
Sancilio Pharmaceuticals Company – Files Chapter 11
Investigating Claims – Sancilio Pharmaceuticals Company Are you concerned about your investment in Sancilio Pharmaceuticals Company?...
Broker Ellen Vratoric Barred from Securities Industry
Ellen Vratoric – Huntington Investment Co. – Glassport, PA According to the Financial Industry Regulatory Authority (FINRA) on June 1,...
CA Financial Advisor John D. Wade Barred from Securities Industry
John D. Wade – US Bancorp Investments – Fullerton, CA According to the Financial Industry Regulatory Authority (FINRA), the regulator...
James Edward Lyons (Eddie Lyons) Barred
James Edward Lyons – Raymond James & Associates – Shreveport, LA According to the Financial Industry Regulatory Authority...