investment fraud

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Latest blogosphere posts tagged “investment fraud”

 

• Securities Fraud: John Thomas Financial Investors Could Recover Losses

  
  — Authority:
  Investment fraud lawyers are currently investigating claims on behalf of investors who suffered significant losses as a result of conducting business with Anastasios “Tommy” Belesis and other representatives of John Thomas Financial Inc. Specifically, investors in Liberty Silver Corp. and America West Resources ...
  2 weeks ago

• Update on Erickson Retirement Communities Investigation

  
  The White Law Group's Securities Fraud Blog — Authority: 137
  The White Law Group continues to investigate the sale of a private debt offering in Erickson Retirement Communities by brokerage firms who may have failed to perform adequate due diligence when recommending these products to clients. As reported in an earlier post  here , the Erickson Retirement Communities ...
  2 weeks ago

• California Financial Advisor Suspended by FINRA

  
  The White Law Group's Securities Fraud Blog — Authority: 137
  FINRA recently announced that Paul Grover Gomez a registered representative in El Toro, California has been fined $75,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or denying the allegations, Gomez consented to the entry of findings that his options ...
  2 weeks ago

• Louisiana Financial Advisor Suspended by FINRA

  
  The White Law Group's Securities Fraud Blog — Authority: 137
  FINRA recently announced that Kenneth Raden Miller a registered representative in Lafayette, Louisiana has been fined $20,000 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the findings, Miller consented to the entry of findings that he allegedly made ...
  2 weeks ago

• New Jersey Financial Advisor barred from securities industry for alleged mutual fund switches.

  
  The White Law Group's Securities Fraud Blog — Authority: 137
  FINRA recently announced that Sean Francis Sheridan (a financial advisor based in Oakhurst, New Jersey) has been barred from association with any FINRA member in any capacity. According to the announcement, without admitting or denying the allegations, Sheridan consented to the entry of findings that he recommended ...
  2 weeks ago

• Birmingham, Alabama broker barred from securities industry.

  
  The White Law Group's Securities Fraud Blog — Authority: 137
  FINRA recently announced that John Melton Hackbarth (a financial advisor that was formerly registered with Morgan Stanley Smith Barney in Birmingham, Alabama) has been barred from association with any FINRA member in any capacity. The sanction was based on findings that Hackbarth failed to respond to FINRA requests ...
  2 weeks ago

• Securities Fraud Investigation Involving Former Ameriprise advisor, Jennifer Guelinas

  
  The White Law Group's Securities Fraud Blog — Authority: 137
  Have you suffered losses as a result of investing with former Ameriprise financial advisor, Jennifer Guelinas?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses through a FINRA arbitration claim. FINRA recently announced that it has fined Ameriprise Financial ...
  2 weeks ago

• Recovery of Success Trade Promissory Note Losses

  
  — Authority:
  Securities fraud attorneys are currently investigating claims on behalf of the customers of Success Trade Securities who purchased Success Trade promissory notes. In April 2013, the Financial Industry Regulatory Authority (FINRA) announced that it had filed a Temporary Cease-and-Desist Order in relation to these ...
  3 weeks ago

• FINRA Rule 12206 – Eligibility

  
  The White Law Group's Securities Fraud Blog — Authority: 137
  The following is a brief breakdown of the FINRA Eligibility Rule and caselaw applicable to its application: FINRA Rule 12206 reads as follows: “12206.   Time Limits (a) Time Limitation on Submission of Claims No claim shall be eligible for submission to arbitration under the Code where six years have elapsed ...
  4 weeks ago

• Morgan Stanley Broker Allegedly Traded on Customer Accounts without Permission

  
  — Authority:
  Investment fraud lawyers are currently investigating claims on behalf of customers of Morgan Stanley and other full-service brokerage firms who were the victim of unauthorized trading or discretionary trading on a non-discretionary account without receiving prior written authorization. According to FINRA’s ...
  4 weeks ago

• Recovery of South Central Region Private Limited Partnership, Discovery Oil & Gas Partners, and Gulf Coast Rig and Equipment Investment Losses

  
  The White Law Group's Securities Fraud Blog — Authority: 137
  Have you suffered substantial losses in oil and gas private placements with South Central Region Private Limited Partnership, Discovery Oil & Gas Partners, or Gulf Coast Rig and Equipment? If so, the securities fraud attorneys at The White Law group may be able to help you recover your losses through FINRA ...
  4 weeks ago

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