Tag: S.E.C.
Recovery of Ponzi Scheme Investment Losses
If you have suffered investment losses in a Ponzi scheme recommended to you by your financial advisor or stockbroker, The White Law Group...
FINRA Fines Goldman Sachs
FINRA recently announced that it has fined Goldman, Sachs & Co. $650,000 for failing to disclose that two of its registered...
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...
Current Securities Fraud Investigations
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance...
SEC and FINRA accuse Morgan Keegan of misleading customers.
In proceedings filed by the Securities and Exchange Commission and the Financial Industry Regulatory Authority, known as FINRA (f/k/a the...
