Current Investigations
UBS hit with $8 Million for Unsuitable Sales of VXX Fund
Did you lose money investing in iPath S&P 500 VIX Short-Term Futures ETN (VXX)? UBS hit with $8 Million for Unsuitable Sales of VXX...
Concerned about your investment in Starboard Metro DST?
Starboard Metro DST Securities Investigation Are you concerned about your investment in Starboard Metro DST? If so, the securities...
Advisor Kevin Meadows Reportedly Suspended
FINRA Bars Broker Kevin Meadows after Allegations of Unsuitable & Excessive Trades According to the Financial Industry Regulatory...
Medley Management Suspends Trading
Sierra Income’s Asset Manager to Delist from NYSE after Medley LLC files for Chapter 11 According to reports this week, Medley LLC filed...
Sean Zhang, Wells Fargo Advisor, Barred from the Securities Industry
Broker Sean Zhang’s Customers allege Unsuitable Investment Recommendations & Misrepresentation According to the Financial Industry...
Next Financial Group to pay $750,000 for Supervisory Failures
FINRA Sanctions Next Financial Group for Unsuitable Mutual Fund Trading The White Law Group is investigating potential securities claims...
