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Publications

Publications

Investment News: Thinkorswim Users Sue TD Ameritrade for $8.2 Million in Options Losses

TD Ameritrade Inc. has been hit with an $8 million arbitration claim by a group of options traders who say they lost money last summer during final integration of the thinkorswim trading platform…

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Publications

San Diego Reader: Graybeards Beware

Beware nontraded real estate investment trusts. That advice was issued early this month by the Financial Industry Regulatory Authority, the nongovernmental regulator of securities firms…

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Publications

InvestmentNews: Investors in Lerner REITs May Find No Redemption

Investors who want to redeem their shares in the Apple family of non-traded REITs marketed by David Lerner Associates Inc., which has become the target of a regulatory action, may be out of luck…

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Publications

Lawyers and Settlements: Securities Suits Still Going Strong at White Law Group

Two years on and a bit more, attorneys like Daxton White are still filing suit or doing FINRA (Financial Industry Regulatory Authority) mediation and arbitration hearings for clients who were bilked, defrauded, led down the garden path and otherwise separated from their money by unscrupulous and indeed sometimes criminal brokers and investment companies…

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Publications

Las Vegas Review-Journal: Investigation Focuses on Henderson-based Desert Capital

Two years on and a bit more, attorneys like Daxton White are still filing suit or doing FINRA (Financial Industry Regulatory Authority) mediation and arbitration hearings for clients who were bilked, defrauded, led down the garden path and otherwise separated from their money by unscrupulous and indeed sometimes criminal brokers and investment companies…

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Publications

Sun-Sentinel: Your Money Q&A: How long after losing money can I file a claim?

Most investor claims must go through arbitration, rather than through courts. They must be submitted under rules established by the Financial Industry Regulatory Authority, an industry self-regulatory organization…

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