Securities Fraud Articles
Somerset Securities Inc.: FINRA Claim
The White Law Group Files a FINRA Claim against Somerset Securities Inc. The White Law Group announces the filing of a FINRA arbitration...
SW Financial Ordered to Pay $3.2 M for Churning Claim
SW Financial Sued for Excessive, Unsuitable and Unauthorized Trading According to a FINRA award on August 30, a three-person panel...
Know your Rights: Investment Cold Calling
What is Investment Cold Calling? Investment cold calling is a marketing and sales practice where financial professionals, such as brokers,...
Claim Filed against Concorde Investment Services
The White Law Group Files another FINRA Claim against Concorde Investment Services The White Law Group announces the filing of a FINRA...
FINRA Rule 4111: Is your Brokerage Firm on the Naughty List?
What is FINRA Rule 4111? FINRA Rule 4111 (Restricted Firm Obligations) focuses on broker-dealer firms with a history of misconduct or...
Ex-KBS Realty Advisors Exec Pleads Guilty to $2.7 Million Fraud
KBS Realty Advisors Former Chief Auditor Faked Invoices in Fraud Scheme According to a press release on August 21, 2023, The U.S....
