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4 Apr 2018, 8:46 am
Board also approves decrease in distributions The White Law Group continues to investigate potential claims involving broker dealers who may have unsuitably recommended Healthcare Trust Inc. to investors. [read post]
18 Jan 2022, 12:04 am
The White Law Group continues to investigate potential securities claims involving broker dealers who may have improperly recommended CIM Real Estate Finance Trust (formerly Cole Credit Property Trust IV (CCPT IV) to investors. [read post]
22 Jun 2009, 7:34 pm
The Financial Industry Regulatory Authority says that RBC Capital Markets Corp., Raymond James & Associates, Inc., and an RBCCMC head trader have settled charges over alleged broker misconduct connected to stock loan improprieties. [read post]
17 Aug 2018, 2:57 am
Among my favorite tunes was one that often reminds me of Wall Street: "Chain of Fools"Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls (SEC Press Release 2018-155)https://www.sec.gov/news/press-release/2018-155-0Citigroup Inc. and its U.S. broker-dealer subsidiary Citigroup Global Markets Inc. [read post]
2 Aug 2017, 6:45 am
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. [read post]
20 Oct 2011, 9:39 am
Citigroup Global Markets Inc. [read post]
11 Apr 2018, 9:04 am
The post $300 Million Suit filed against 8 Wall Street Banks & Broker-dealers appeared first on White Securities Law. [read post]
26 May 2015, 12:15 pm
Have you suffered investment losses in NorthStar Healthcare Income Inc. [read post]
21 Jun 2019, 12:21 pm
With more than 30 years in the industry, Jessee has also been a registered broker at five other broker-dealers, including Investors Capital Corp., Financial Securities Network, NAP Financial Corporation, Marketing One Securities, and Mutual of Omaha Fund Management Company. [read post]
5 Jun 2015, 5:32 am
The company is now defunct.Neilsen previously was registered as a broker-dealer agent of Tradition Asiel Securities Inc. from December 17, 2004 to July 2, 2007, and with Sound Securities, LLC from August 7, 2008 to December 9, 2009. [read post]
25 May 2011, 8:05 am
Among the broker/dealers to shutter: GunnAllen Financial Inc., QA3 Financial Corp., Okoboji Financial Services, and Jesup & Lamont Securities Corp. [read post]
26 Jan 2010, 8:58 pm
Scott Gann, who allegedly committed Texas securities fraud, is no longer allowed to associate with dealers, investment advisers, and brokers. [read post]
5 Dec 2020, 12:44 pm
The White Law Group is investigating potential securities claims involving broker-dealers who may have unsuitably recommended Ampliphi Biosciences Corp. to investors. [read post]
24 May 2021, 7:22 am
The White Law Group is investigating potential claims involving broker dealers who may have unsuitably recommended non-traded REITs like Rodin Income Trust Inc.to investors. [read post]
28 Jun 2017, 7:11 am
Brad Katsuyama, CEO of the IEX Group, Inc. and Investors Exchange LLC, agreed that exchanges have conflicts of interest related to selling market data. [read post]
12 Sep 2014, 3:01 pm
In addition to members of NASAA’s Broker Dealer Section, the working group will include representatives from FINRA, the Securities Industry and Financial Markets Association (SIFMA) and the Financial Services Institute (FSI). [read post]
27 Aug 2006, 12:30 pm
The United States Department of Justice, the Securities and Exchange Commission, the National Association of Securities Dealers and the New York Stock Exchange, are expected to announce a civil settlement with Prudential Financial Inc. on Monday. [read post]
23 Aug 2018, 5:56 pm
Robbins and Knowles Systems, Inc. [read post]
11 Jun 2023, 4:17 pm
The Financial Industry Regulatory Authority Inc., a private organization empowered by Congress to regulate the securities industry, is structured and operated in a way that violates the US Constitution, two brokerage firms allege in a suit.FINRA “wields massive power and governmental authority over the securities broker-dealer industry and the financial markets,” Scottsdale Capital [...] [read post]
18 Jun 2009, 7:39 am
By agreeing to pay the fines, the broker-dealers are not admitting or denying wrongdoing. [read post]
