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Tag: securities fraud attorney

Blog, Securities Fraud

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FINRA RULE 3110 (SUPERVISION)

What is Failure to Supervise – FINRA Rule 3110?   FINRA Rule 3110 (Failure to Supervise) requires a firm to establish and maintain a...

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Blog, Securities Fraud

Annuity Investment Fraud 

Annuity Investment Fraud  According to an article in Financial Planning this week, we are in a “historic boom for annuities,” and...

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Blog, Current Investigations

David Shane Simmons, Lincoln Financial Advisor, Barred 

FINRA Bars David Shane Simmons from the Securities Industry  According to public documents, the Financial Industry Regulatory Authority...

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Blog, Current Investigations

Kevin Hobbs Barred after Allegations of Selling Away  

FINRA Reportedly Bars Kevin Hobbs of PFS Investments from the Securities Industry  According to public documents, the Financial Industry...

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Blog, Securities Fraud

Are Structured Notes Worth the Risk?

What are Structured Notes? An Overview A Structured Note is a IOU from an investment bank that uses derivatives to create the desired...

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Blog, Current Investigations

Sorrento Therapeutics Inc. Files Chapter 11 Bankruptcy 

Securities Investigation: Sorrento Therapeutics Inc.  The White Law Group is investigating potential securities claims involving broker...

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