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Tag: SEC charges

Clarice Saw Charged with Defrauding Elderly Client, featured by top securities fraud attorneys, the White Law Group

Broker Investigations

July 31, 2023

Clarice Saw Charged with Defrauding Elderly Client  

New York Advisor Clarice Saw Charged with Defrauding Elderly Client of $2.4 Million According to reports this week, the SEC charged...

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Wells Fargo Clearing Services Overview featured by top securities fraud attorneys, the White Law Group

Blog, FINRA SEC Sanctions, Securities Fraud Articles

July 7, 2023

Wells Fargo Clearing Services Overview

The White Law Group reviews the regulatory history of Wells Fargo Clearing Services, LLC.    Wells Fargo Clearing Services LLC,...

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Hightower Securities LLC Overview, featured by top securities fraud attorneys, the White Law Group

FINRA SEC Sanctions, Securities Fraud Articles

July 5, 2023

Hightower Securities LLC Overview  

The White Law Group reviews the regulatory history of Hightower Securities LLC.    Hightower Securities LLC...

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JP Morgan Securities LLC Overview, featured by top securities fraud attorneys, The White Law Group

FINRA SEC Sanctions, Securities Fraud Articles

June 27, 2023

JP Morgan Securities LLC Overview   

The White Law Group reviews the regulatory history of JP Morgan Securities LLC.    JP Morgan...

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MML Investors Services LLC Overview featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud Articles

May 17, 2023

MML Investors Services LLC Overview 

The White Law Group reviews the regulatory history of MML Investors Services LLC.  MML Investors Services Inc....

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Stifel Nicolaus & Co. Overview featured by top securities fraud attorneys, The White Law Group

Blog, Current Investigations

May 2, 2023

Stifel Nicolaus & Co. Overview

The White Law Group reviews the regulatory history of Stifel Nicolaus & Co.   Stifel Nicolaus & Co Inc. (CRD # 793), a...

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