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Tag: S.E.C.

Blog, Securities Fraud

November 12, 2010

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...

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Blog, Securities Fraud

November 9, 2010

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...

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Blog, Securities Fraud

October 29, 2010

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...

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Blog, Securities Fraud

October 26, 2010

Regulatory History of Wedbush Securities

The White Law Group reviews securities fraud cases throughout the country, including reviewing securities fraud cases involving all of the...

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Blog, Securities Fraud

June 29, 2010

Current Securities Fraud Investigations

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance...

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Blog, Securities Fraud

June 25, 2010

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...

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