Tag: investor fraud
APS Financial Corporation Expelled By FINRA
Financial Industry Regulatory Authority (FINRA) recently announced that it has expelled APS Financial Corporation, located in Austin,...
E-Trade Auction Rate Securities Fraud Investigation
The White Law Group is currently investigating securities fraud claims against New York based brokerdealer E-Trade Securities, LLC ...
Investigation Into Kenneth McLeod Alleged Ponzi Scheme
The White Law Group is investigating potential claims involving the alleged Ponzi scheme perpetrated by Kenneth McLeod. Specifically, the...
Investor Alert – Free Lunch Seminars
Investors frequently get invited to free seminars that promise to educate them about investing strategies or managing money in...
FINRA Fines For Mutual Fund Sales Practices
In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA’s (then...
FINRA Fines HSBC Securities For Unsuitable CMO Sales
FINRA recently announced that it has fined HSBC Securities (USA) Inc. $375,000 for recommending unsuitable sales of inverse floating rate...
