Current Investigations
D.H. Hill Securities Sanctioned for Private Placement Sales
FINRA Censures & Fines D. H. Hill Securities According to the Financial Industry Regulatory Authority (FINRA) on July 22, the regulator...
Laidlaw & Co. to pay $1.5 Million for Supervisory Failures
FINRA reportedly Sanctions Laidlaw & Rep for Potential Market Manipulation Red Flags According to the Financial Industry Regulatory...
First Capital REIT CEO to Pay $7 million for Alleged Fraud Charges
SEC Obtains $7 Million Final Judgment and Bars First Capital REIT CEO from the Securities Industry The White Law Group continues to...
Wilson-Davis Co. Inc. to pay $500,000 for Supervisory Failures
FINRA Sanctions Wilson-Davis Co. Inc. for Failure Supervise The White Law Group is investigating potential securities claims involving...
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...
