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2 Jul 2018, 11:30 am
Kim first entered the securities industry in 1997, and most recently was affiliated with Independent Financial Group, LLC (CRD# 7717) from 2006 – 2016 and, thereafter, Sandlapper Securities, LLC (CRD# 137906) from March 2016 – April 2017. [read post]
14 Jan 2022, 8:59 am
FINRA has already granted the group expedited status to the proceedings due to their senior age, which should help fast track a recovery. [read post]
17 May 2023, 11:30 am
The White Law Group reviews the regulatory history of MML Investors Services LLC. [read post]
20 Sep 2018, 2:27 pm
Also facing SEC charges are Jezierski, Merrill, and Ledford’s numerous entities, including: Delmarva Capital, LLC LLC Rhino Capital Group, LLC Global Credit Recovery, LLC Riverwalk Financial Corporation Rhino Capital Holdings, DeVille Asset Management LTD The SEC wants disgorgement, prejudgment interest, and financial penalties. [read post]
14 Mar 2013, 12:10 pm
To avoid claims of violations of fiduciary duties or non-poaching clauses, some advise that teams should have the junior members resign first and at a later time the senior members of the group should follow. [read post]
28 Jan 2012, 9:59 pm
The SEC is accusing First Resource Group LLC and its founder David H. [read post]
31 Mar 2021, 10:25 am
The post Raymond James Broker Gary Dodds Sanctioned for Churning/Excessive Trading appeared first on The White Law Group. [read post]
12 Jun 2023, 2:08 pm
Cetera Advisors and Cetera Advisor Networks – Review of Regulatory History The White Law Group reviews the regulatory history of FINRA-registered broker dealers, Cetera Advisors LLC and Cetera Advisor Networks LLC, wholly owned subsidiaries of Cetera Financial Group. [read post]
29 Mar 2017, 6:59 am
Glick with Defrauding Seniors appeared first on White Securities Law. [read post]
13 Feb 2023, 5:59 am
In the following guest post, Brian Baney, Senior Vice President, Head of Management and Professional Liability Claims, Ascot Group, Peter Trochev, Senior Vice President, Financial Institutions, Ascot Group, Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC, survey the current risk environment for private equity firms. [read post]
18 Aug 2021, 6:43 am
Previous employers include Cetera Investment Services LLC (CRD#:15340), also of Tulsa, Bok Financial Securities, Inc. [read post]
14 Mar 2013, 1:10 pm
To avoid claims of violations of fiduciary duties or non-poaching clauses, some advise that teams should have the junior members resign first and at a later time the senior members of the group should follow. [read post]
12 Aug 2020, 8:49 am
The post Broker James Blake Daughtry, Kestra Investment Services Lawsuit appeared first on The White Law Group. [read post]
21 Oct 2021, 10:08 am
The post FINRA Complaint Alleges Spartan Capital Securities & Execs Failed to File Forms U4 & U5 appeared first on The White Law Group. [read post]
5 Feb 2019, 12:31 pm
Dean Grant Financial – Milledgeville, GA According to the Union-Recorder, financial advisor Dean Harrison Grant has been arrested by Georgia state authorities in connection with an investigation into a corrupt financial scheme that targeted several victims, including two senior citizens. [read post]
1 Apr 2021, 7:32 am
The post 10 Worst Financial Advisors in America according to Think Advisor appeared first on The White Law Group. [read post]
15 Sep 2015, 11:01 am
– Today the Consumer Financial Protection Bureau announced that it has obtained a preliminary injunction against World Law Group and its senior leaders for running a debt-relief scheme that charged consumers exorbitant, illegal upfront fees. [read post]
29 Oct 2015, 4:49 am
After practicing law John became at early Knowledge Management leader and evangelist at Alton & Bird and Latham & Watkins in the 1990's, He has now turned his focus to predictive analytics in financial services and his article urges law firm leaders to recognize the financial and competitive opportunities which predictive analytics offer in specific areas of law firm administration and practice.Why Lawyers Should Care about Predictive AnalyticsBy John Hokkanen, Risk… [read post]
13 Jun 2018, 7:37 am
Eckstein Indicted on Fraud Charges appeared first on White Securities Law. [read post]
25 Apr 2019, 12:45 pm
Lyons and his investment advisory businesses, Synchronicity Capital GP, LLC, Synchronicity Capital Group, and Synchronicity Group, LLC, used the money to pay for Lyons’ personal spending, including Broadway shows, concert tickets, sailing expenses, rent, and other costs. [read post]
