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10 Aug 2017, 9:28 am
If you have questions about investments you made with Cetera Advisors LLC the securities attorneys of The White Law Group may be able to help you. [read post]
27 Mar 2020, 10:56 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
2 Aug 2017, 6:45 am
Morgan Securities LLC, and Interactive Brokers LLC have been censured and fined a total of $4.75 million for violations of various provisions of the market access regulations and “related exchange supervisory rules,” according to reports. [read post]
2 Aug 2017, 3:15 pm
Morgan Securities LLC, and Interactive Brokers LLC have been censured and fined a total of $4.75 million for violations of various provisions of the market access regulations and “related exchange supervisory rules,” according to reports. [read post]
25 Nov 2014, 7:51 am
In the case, a group of former Exxon-Mobil Corporation employees claimed that USCA Capital Advisors LLC mislead them about the company’s investment strategy and performance. [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]
17 Nov 2011, 1:29 pm
Coastal Construction Group, Inc. [read post]
28 Aug 2018, 8:32 am
The total amount awarded to Grimes is $1,046,098.31. [read post]
2 Jan 2016, 7:58 am
The investment attorneys of Gana LLP are investigating potential recovery options for investors in the Claren Road Asset Management LLC fund (Claren Road), managed by Carlyle Group LP (Carlyle Group). [read post]
12 Oct 2018, 12:09 pm
”) Kim’s previous employers include Independent Financial Group, LLC (CRD #7717), Lincoln Financial Advisors Corporation (CRD #3978), both also of San Diego, and The Lincoln National Life Insurance Company (CRD #2580) of Fort Wayne, IN. [read post]
11 Jul 2013, 7:25 am
, LPL Financial LLC, Commonwealth Financial Network, MML Investor Services LLC, Investors Capital Corp., Signator Investors Inc., Meyers Associates LP, and WFG Investments Inc. [read post]
23 Aug 2017, 11:55 am
Cetera Financial Group Settles with FINRA According to reports, five Cetera Financial Group broker-dealers reached settlements with the Financial Industry Regulatory Authority totaling $3.3 million for failing to supervise the application of mutual fund sales charge waivers to eligible clients in retirement plans and at charitable organizations. [read post]
25 Jun 2017, 7:19 am
Sutherland is General Counsel and Chief Compliance Officer for Telsey Advisory Group. [read post]
7 Apr 2020, 9:27 am
The post Credit Suisse VelocityShares Daily 3X Inverse Crude (DWTIF) Total Losses appeared first on The White Law Group. [read post]
3 Sep 2014, 10:16 am
She worked as Director of Corporate Communications for the defendant NYG Capital LLC, which operates under the name New York Global Group (NYGG), from October 2013 to April 2014. [read post]
16 Dec 2021, 10:30 am
If you have suffered financial losses due to your financial professional recommending the purchase of a Hospitality REIT, the White Law Group may be able to help you. [read post]
10 Aug 2017, 9:29 am
If you have questions about investments you made with Cetera Advisor Networks LLC the securities attorneys of The White Law Group may be able to help you. [read post]
19 Mar 2021, 9:13 am
The post The Financial Industry Regulatory Authority (FINRA) Fines Surge 43% in 2020 appeared first on The White Law Group. [read post]
9 Aug 2011, 8:12 am
The seven companies served with a Notice of Violation are: Dunwell Financial Services, LLC - Jersey City Home Mitigation Group - Matawan Loss Mitigation Consultant Services - Paulsboro Rose MM, LLC - Newark Save Americas Mortgages Corp. - Fort Lee TWI Corp. - Winter Garden, Fla. [read post]
14 Jul 2021, 1:09 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
