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Tag: Connecticut

Blog, Securities Fraud

Former Raymond James Financial Advisor Faces Sentencing for Theft

According to CBS New York, a former Connecticut securities broker faces sentencing for stealing more than $1.35 million from his clients....

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Blog, Securities Fraud

Possible Securities Fraud Involving former Raymond James financial advisor Robert Lipka

The White Law Group is investigating investment recommendations made by former Raymond James financial advisor Robert Lipka. Specifically,...

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Blog, Securities Fraud

Wadsworth Investment Co., Inc. and William Frederick Wadsworth of Wallingford, Connecticut fined and censured by FINRA for securities violations.

FINRA recently announced that Wadsworth Investment Co., Inc. and William Frederick Wadsworth of Wallingford, Connecticut have been fined...

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Blog, Securities Fraud

UBS Securities LLC, based in Stanford, Connecticut, fined by FINRA.

UBS Securities LLC was recently fined $320,000 by FINRA and required to revise its written supervisory procedures regarding OATS...

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