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Tag: Illinois securities attorney

Current Investigations

Adam Michael Lopez Barred from Securities Industry

Broker Investigation – Adam Michael Lopez – Country Capital Management According to the Financial Industry Regulatory Authority...

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Blog, Securities Fraud

First Midwest Securities, Inc. fined by FINRA

First Midwest Securities, Inc. (CRD #21786, Bloomington, Illinois) recently submitted a Letter of Acceptance, Waiver and Consent in which...

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Blog, Securities Fraud

Fidelity Brokerage Services, LLC and Fidelity Investments Institutional Services Company fined by FINRA

Fidelity Brokerage Services, LLC (CRD #7784, Smithfield, Rhode Island) and Fidelity Investments Institutional Services Company, Inc. (CRD...

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Blog, Securities Fraud

SEC Issues Warning Regarding Structured Products and Reverse Convertible Notes

Broker-dealers have been engaging in sales practices for structured securities products that hurt retail investors, according to a...

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Blog, Securities Fraud

Chicago, Illinois Securities Fraud / Broker Fraud Attorney

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance...

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Blog, Securities Fraud

Recovery of Charles Schwab YieldPlus Losses

The White Law Group is investigating claims on behalf of investors that invested in Charles Schwab’s YieldPlus fund. The Financial...

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