Blog
Raymond James to pay $500K for Failure to Supervise
Raymond James’ Rep Reportedly Imprisoned after Allegations of Stealing from Elderly Clients According to the Securities and Exchange...
 Ex-Edward Jones Advisor Ronald Molo to pay $800K after Fraud AllegationsÂ
Advisor Ronald Molo Allegedly Stole $800K from 3 Clients According to a press release posted on October 7, 2022, the U.S. District Court...
Harvest Collateral Yield Enhancement Strategy (CYES)Â Â
Did your Broker recommend an Investment in Harvest Collateral Yield Enhancement Strategy (CYES)?  The White Law Group continues to...
Investigating Securities Claims involving Clearvoice Inc.  Â
Clearvoice Inc. Securities Investigation  The White Law Group is investigating potential securities claims involving the liability...
FINRA Fines Barclays Capital Inc. $2 Million
Barclays Sanctioned for Best Execution Violations and Supervisory Failures According to the Financial Industry Regulatory Authority...
FINRA Fines UBS Securities $2.5 Million for Reg SHO ViolationsÂ
UBS Sanctioned for Reg SHO Violations and Supervisory Failures According to a press announcement this week, the Financial Industry...
