Author: The White Law Group
Update: UDF Funds Unable to File Periodic Reports
UDF Funds haven’t filed financial statements since 2015 Have you suffered losses investing in UDF Funds? If so, the securities attorneys...
Legend Securities to Pay Restitution to Customers
Legend Securities Censured and Fined According to the Financial Industry Regulatory Authority, on June 22, 2017, an OHO Decision became...
Ex-Broker Anthony J. Verzi Barred from the Securities Industry
Ex-Broker Anthony J. Verzi Barred from the Securities Industry According to FINRA, on June 7, 2017, Anthony J. Verzi (CRD #1186572,...
MA Commonwealth Secretary Galvin Investigates broker ‘kickbacks’
New York Times op-ed piece sparks investigation into broker kickbacks According to reports on Tuesday, Massachusetts securities regulator,...
FINRA Sanctions VFG Securities for Supervisory Issues
VFG Securities Censured & Fined According to FINRA, on June 28, 2017, VFG Securities Inc. (CRD #15121, Culver City, California) was...
Former Advisor Jay Dee Jordan Barred from Securities Industry
FINRA Bars Jay Dee Jordan for Numerous Violations According to the Financial Industry Regulatory Authority, between June 1, 2012 and March...