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Tag: broker dealer

Blog, Securities Fraud

Alabama Securities Law

Each state has its own securities laws. The following are selected sections of the Alabama securities laws that are generally applicable in...

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Blog, Securities Fraud

Possible Securities Fraud Involving DLG and Lighthouse Capital

The White Law Group is investigating a securities fraud claim involving a recommendation made by Lighthouse Capital Corporation to invest...

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Blog, Securities Fraud

Investigation Into Sub-Prime Issues

The White Law Group is investigating the appropriateness of financial advisor’s recommendations that investors purchase sub-prime issues...

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Blog, Securities Fraud

Investigation Into Financial Advisor’s Unsuitable Recommendation to Purchase Freddie Mac and Fannie Mae Preferred Stocks.

We are investigating a possible securities fraud claim on behalf of an investor involving an improper and unsuitable investment...

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Blog, Securities Fraud

Cumberland Brokerage Corporation (a FINRA registered broker-dealer based in Philadelphia, Pennsylvania) fined and censured by FINRA for securities violations

FINRA recently announced that Cumberland Brokerage Corporation (a FINRA registered broker-dealer based in Philadelphia, Pennsylvania) has...

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Blog, Securities Fraud

BGC Financial, L.P. (a FINRA broker-dealer based in New York City ) fined and censured by FINRA

FINRA (formerly the NASD) recently announced that BGC Financial, L.P. (a FINRA broker-dealer based in New York City ) was censured and...

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