Tag: Chicago investment fraud lawyer
SEC Charges Chicago Adviser With Defrauding Investors
The Securities and Exchange Commission (the SEC) recently charged a Chicago-based investment adviser and his firm with defrauding clients...
Chicago Securities Arbitration Attorney
The White Law Group is a national securities fraud, securities arbitration, investor protection and securities regulatory/compliance law...
SEC charges Advanced Equities with misrepresentations
The Securities and Exchange Commission recently charged the co-founder of a Chicago-based investment firm with misleading investors in two...
CFP Revocations Announced
According to a report in Financial Advisor magazine, the Certified Financial Planner Board revoked the Certified Financial Planner mark...
Peterson Investments, Inc. fined by FINRA over supervisory system.
Petersen Investments, Inc. (CRD #38537, Wall, New Jersey) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...
FINRA Rules Regarding Suitability
Securities Fraud Attorneys | Suitability Claims One of the main claims in any securities fraud case is regarding suitability (i.e., were...
