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Tag: variable annuity fraud

Blog, Securities Fraud Articles

August 31, 2011

When is the Sale of Variable Annuities a Securities Regulation Violation?

As a national securities litigation law firm and investor protection advocate, the firm often speaks to investors who have experienced...

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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

January 11, 2011

FINRA Investigates Long Island firm David Lerner & Associates

According to the New York Post, in May 2010, FINRA accused Long Island brokerage firm David Lerner Associates and its head trader, William...

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Blog, Securities Fraud Articles

November 24, 2010

FINRA fines Next Financial for Supervisory Failures

In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered in Houston, Texas, $1 million for supervisory...

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Blog, Securities Fraud Articles

October 21, 2010

Information Regarding Waddell & Reed’s Sales Practices

Waddell & Reed’s sales practices have been the subject of regulatory inquiry on several occasions. Back in 2005, FINRA resolved its...

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Blog, Securities Fraud Articles

August 25, 2010

Investigation: Raymond James Financial Advisor Denis Johnson

The White Law Group is investigating a possible securities fraud claim on behalf an investor involving former Raymond James financial...

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