Author: The White Law Group
HPI MHC Real Estate Fund XI: Investor Alert
HPI MHC Real Estate Fund XI LLC: Investigating Potential Securities Claims The White Law Group is investigating potential securities claims...
Investment News: More Triad/Osaic Complaints Settled
According to an article in Investment News this week, two broker-dealers, Triad Advisors and Arkadios Capital, paid a total of $535,000 to...
First Horizon Advisors Inc. Sanctioned by the SEC
First Horizon Fined for REG BI Violations regarding Structured Notes According to a press release on September 18, 2024, the SEC charged...
Kestra and iCapital’s Alternative Investment Platform
Kestra Financial to expand with iCapital’s Alternative Investment Platform Kestra Financial is reportedly expanding its strategic...
John Perez-Cubero, Morgan Stanley, Barred
FINRA Bars John Perez-Cubero after Allegations of Conversion According to the Financial Industry Regulatory Authority (FINRA), the...
Sean Barakat, Spartan Capital, FINRA Complaint
Spartan Capital Broker Sean Barakat Allegedly Excessively Traded Accounts According to the Financial Industry Regulatory Authority (FINRA)...