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Tag: New York

Blog, Securities Fraud

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...

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Blog, Securities Fraud

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...

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Blog, Securities Fraud

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 ...

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Blog, Securities Fraud

Janney Montgomery Scott Regulatory History and Sales Practices

Established in 1832, Janney Montgomery Scott is a Philadelphia, Pennsylvania based FINRA broker-dealer.  Janney Montgomery Scott has from...

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Blog, Securities Fraud

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...

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