Current Investigations
FINRA Fines LPL Financial $2.75 Million
FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures According to the Financial Industry Regulatory Authority...
Bruce Plyer Barred from Securities Industry
Bruce Plyer – Morgan Stanley – Florham Park, New Jersey According to the Financial Industry Regulatory Authority (FINRA), the regulator...
Wheeler Real Estate Investment Trust Investigation
Investigating Potential Claims involving Wheeler Real Estate Investment Trust Are you concerned about your investment in Wheeler Real...
William Hightower Indicted on 13 Counts of Fraud & Money Laundering
William Hightower – Hightower Capital Group – Investigation According to a press announcement on October 11, 2018, former financial...
Jim Flynn Broker Investigation | Update Sept. 27, 2019
Jim Flynn – James Travis Flynn – Greenville, SC – Barred from Securities Industry Are you concerned about your investments...
CNH Global NV – Securities Investigation
Investor Alert – CNH Global NV Are you concerned about your investment in CNH Global NV? If so, the securities attorneys at The White...
