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Tag: The White Law Group

Blog, Securities Fraud Articles

May 24, 2010

Dedric Hillery Gill III barred from securities industry

FINRA recently announced that Dedric Hillery Gill III, a former registered representative with QA3 Financial Corp. in Omaha, Nebraska, has...

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Blog, Securities Fraud Articles

May 24, 2010

Broker Barry Michael Donald fined and suspended from FINRA

Barry Michael Donald, a former registered representative with Chase Investment Services Corp. in Morton, Illinois, fined and suspended from...

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Blog, Securities Fraud Articles

May 24, 2010

Gilman Ciocia and Prime Capital Services censured by the SEC

The Securities and Exchange Commission (SEC) recently announced that it has censured Gilman Ciocia and its Prime Capital Services unit for...

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Blog, Securities Fraud Articles

May 24, 2010

Howe Barnes Hoefer & Arnett, Inc. fined by FINRA

FINRA recently announced that Howe Barnes Hoefer & Arnett, Inc., a registered broker-dealer based in Chicago, Illinois, has been...

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Blog, Securities Fraud Articles

September 17, 2009 • 2 Comments

Penson Financial Services fined by FINRA for securities violations

FINRA recently announced that Penson Financial Services, Inc. has been fined $38,000 and ordered to pay $22,663, plus interest, in...

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Blog, Securities Fraud Articles

June 16, 2009

Important Things to Know about B Share Mutual Funds

There has been quite a bit of controversy surrounding Class B share mutual funds in the last few years. The NASD and SEC are taking a very...

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