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Tag: UIT fraud

Blog, Securities Fraud Articles

December 18, 2013

Overview of Unit Investment Trusts

The following is intended to provide an overview of unit investment trusts, and highlight the pros and cons associated with these types of...

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Blog, Securities Fraud Articles

November 16, 2011

Chase to pay $3.6 Million in Reimbursements and FINRA Fines

According to the Financial Industry Regulatory Authority (FINRA) they have fined Chase Investment Services $1.7 million and ordered them to...

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Blog, Securities Fraud Articles

April 15, 2011

FINRA Arbitration Claim filed Against NEXT Financial

The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim involving...

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Blog, Securities Fraud Articles

November 30, 2010

Recovery of Investment Losses

If you have suffered investment losses as a result of the fraud or negligence of your financial professional or brokerage firm, The White...

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Blog, Securities Fraud Articles

October 6, 2010

FINRA Fines Atlanta based broker-dealer SunTrust Investment Services

FINRA recently today that it has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related...

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