Tag: New York
Janney Montgomery Scott: Regulatory History and Sales Practices
The White Law Group reviews the regulatory history of Janney Montgomery Scott. Established in 1832, Janney Montgomery Scott is a...
Merrill Lynch Settles Securities Fraud Charges
Merrill Lynch recently agreed to pay a $10 million fine to settle civil securities fraud charges by regulators who accused the firm of...
FINRA Investigates Long Island firm David Lerner & Associates
According to the New York Post, in May 2010, FINRA accused Long Island brokerage firm David Lerner Associates and its head trader, William...
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 ...
Securities Fraud Investigation Involving Retained Asset Accounts
The White Law Group is investigating possible securities fraud claims involving retained asset accounts. Retained asset accounts are...
Andrew Mark Ruby Barred from Securities Industry
FINRA recently announced that Andrew Mark Ruby, a former Morgan Stanley financial advisor in Hartsdale, New york, has been barred from...
