Tag: securities losses
Chattanooga, Tennessee Securities Fraud / Broker Fraud Attorney
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance...
FINRA Fines Firms For Overstating Trade Volume
In 2008, FINRA announced that it has fined 19 broker-dealers a total of $2.8 million for substantially overstating their advertised trade...
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...
Securities Fraud Investigation Involving Provident Royalties, LLC
The White Law Group is investigating securities fraud claims involving Provident Royalties, LLC. Specifically, the firm is investigating...
Rhonda Breard Barred From Securities Industry
Rhonda Breard, a Kirkland, Wash., investment adviser who has been accused of stealing an estimated $8 million from at least 38 clients, has...
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...
