Author: The White Law Group
Blog, Securities Fraud Articles
November 21, 2016
Is your Financial Advisor Churning your Account? What is churning? According to the SEC, churning occurs when a broker engages in excessive...
Blog
November 20, 2016
New Mountain Finance Corporation (NYSE: NMFC) is a closed-end, non-diversified management investment company that has elected to be treated...
Blog, Current Investigations
November 18, 2016
FINRA sanctioned Oppenheimer & Co., Inc. $3.4 million for poor reporting practices, including internal discipline, providing...
Blog, Current Investigations
November 18, 2016
Stanley Jonathan Fortenberry of San Angelo, Texas, pleaded guilty on November 18, 2016 to an indictment charging him with obstruction of...
Current Investigations
November 18, 2016
FINRA has permanently barred Kevin P.Hudak (CRD# 4439153, Albuquerque, NM) from acting as a broker or otherwise associating with firms that...
