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Blog, Securities Fraud Articles

April 8, 2011

Slow Transfer Year in Securities Industry

According to the InvestmentNewsAdvisers on the Move database, the wealth management division of UBS Financial Services Inc. added the most...

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Blog, Securities Fraud Articles

November 11, 2010

FINRA Fines Firms For Overstating Trade Volume

In 2008, FINRA announced that it has fined 19 broker-dealers a total of $2.8 million for substantially overstating their advertised trade...

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Blog, Securities Fraud Articles

August 10, 2010

Investigation Involving Citigroup’s ASTA and MAT funds

The White Law Group is investigating securities fraud claims on behalf of investors with investment losses in Citigroup’s ASTA and MAT...

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Blog, Securities Fraud Articles

September 16, 2009

FINRA Panel Bars John Mullins for Misappropriating Funds

On September 15, 2009, FINRA announced that a Financial Industry Regulatory Authority (FINRA) Hearing Panel has barred John Edward Mullins...

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Blog, Securities Fraud Articles

August 12, 2009

Securities Fraud Claims involving J.P. Turner & Co

The Atlanta Business Chronicle recently touted J.P. Turner & Company, LLC as one of Atlanta ’s Top 10 Brokerage Firms. The survey,...

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