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Tag: Massachusetts securities attorney

William Gennity Churning Case, Featured by Top Securities Fraud Lawyers, The White Law Group

Blog, Current Investigations, Securities Fraud Articles

March 5, 2019

William Gennity to Pay $300,000 for Churning

Financial Advisor William Gennity worked for 10 Firms in 13-Year Career Have you suffered losses investing with financial advisor William...

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Robert Todd Clark

Blog, Current Investigations

September 24, 2018

Robert Todd Clark Barred from Securities Industry

Robert Todd Clark – Moors & Cabot – Boston, MA According to the Financial Industry Regulatory Authority (FINRA) on September 24,...

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SII Investments

Blog, Current Investigations, Securities Fraud Articles

September 21, 2017

SII Investments Charged with Improper Non-Traded REIT Sales

Mass. Regulator William Galvin Charges SII Investments with Supervisory Issues Massachusetts’ state securities regulator William Galvin...

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Blog, Securities Fraud Articles

October 17, 2014

Joseph Kennon Jayne barred from securities industry by FINRA

According to a recent FINRA Disciplinary Actions announcement, Joseph Kennon Jayne (CRD #2359927, Needham, Massachusetts) submitted an AWC...

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Blog, Securities Fraud Articles

March 7, 2014

Update on Jane O’Brien Alleged Ponzi Scheme

Former broker, Jane O’Brien, who is serving a 33 month sentence after pleading guilty to defrauding clients, is facing additional...

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Blog, Securities Fraud Articles

November 4, 2013

Merrill Lynch Fined $500,000 for "Failure to Supervise"

Massachusetts security regulators fine Merrill Lynch $500,000 for “failure to supervise” a former broker who pled guilty to securities...

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