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Tag: securities regulation

Blog, Securities Fraud

Ongoing Investigation into Sala-Multi Series Fund and Foresee Strategies Insurance Fund

The White Law Group continues to investigate potential FINRA arbitration claims against the broker-dealers that may have improperly sold...

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Blog, Securities Fraud

Connecticut Investment Firm, Wadsworth Investment Co., Faces State Scrutiny

Wadsworth Investment Co. reportedly has been told by the Connecticut state Department of Banking that it has “…90 days to make changes...

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Blog, Securities Fraud

BankAtlantic Bancorp Charged with Misleading Investors in 2007

According to a recent release from the Securities and Exchange Commission (SEC), they have “charged the holding company for one of...

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Blog, Securities Fraud

Wells Fargo Fined $2 Million by FINRA for Sale of Unsuitable Reverse Convertibles

The Financial Industry Regulatory Authority (FINRA) has announced that it has levied a $2 million fine on Wells Fargo Investments, LLC....

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Blog, Securities Fraud

Investors Encouraged to Research Financial Advisers and Choose Carefully

The USA Today recently ran a story in which they gave some tips on diligently selecting a financial advisor and encouraged investors to...

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