Tag: securities fraud
Morgan Stanley Settles Block Trading Charges for $249 Million
SEC Charged Morgan Stanley and Exec with Multi-year Fraud On January 12, 2024, the Securities and Exchange Commission (SEC) filed...
Annuity Sales on the Rise, may Surpass all Time High
Annuity sales on the rise, may surpass all time high set in 2008. CBS News reported today that annuity sales are on the rise thanks to...
FINRA Lawsuit filed against Cetera Advisors
The White Law Group announces the filing of FINRA Lawsuit involving High Risk Non-Traded REITs and BDCs The White Law Group announces the...
SEC Updates List of Unregistered Entities Soliciting Investors
PAUSE List adds 28 Soliciting entities, 3 Impersonators, and 6 Fake Regulators According to a press announcement today, the Securities and...
SEC Warns Brokers-Dealers, RIAs, about Misconduct
SEC Warns Brokers-Dealers, RIAs, about Misconduct during Pandemic Shutdown The SEC issues Risk Alert concerning Possible Misconduct due to...
Sampson Pearson Jr. Broker Investigation
Sampson Pearson – Northwestern Mutual Investment Services – Charlotte, NC Are you concerned about your investments with Sampson Pearson...
