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31 Mar 2014, 4:00 am
Prosecutors claimed in the plea agreement filed Friday that there were 250 victims of the fraud.Is it me or did the first quarter of the year fly by? [read post]
16 Jul 2021, 8:52 am
The White Law Group has been investigating potential securities claims involving broker dealers who may have unsuitably recommended Sierra Income Corp. to investors. [read post]
5 May 2010, 10:46 am
It was announced by Reuters News today that regulators at the New York Stock Exchange have fined Goldman Sachs Execution & Clearing Corp. $450,000 in connection with roughly 385 orders to "short" equity securities for clients that resulted in "fail-to-deliver" positions without first borrowing or arranging to borrow the securities as collateral. [read post]
27 Jan 2020, 1:59 pm
Argyros has been in the industry since 1985 and was previously registered at CIBC World Markets Corp. [read post]
28 Jul 2023, 1:02 pm
Sophisticated investors and market participants can be the victims of misrepresentations as much as retail investors can be. [read post]
10 Jul 2009, 2:03 pm
The Securities Investor Protection Corp., a brokerage-funded group that assists customers of failed brokerages, is picking up the tab. [read post]
19 Oct 2021, 7:41 am
Daniel O’Neil and Douglas Szempruch, two brokers working for Aegis Capital Corp. [read post]
28 Nov 2011, 11:40 pm
It’s not the first time Berkshire Hathaway has assumed liability for an insurance company’s mesothelioma claims. [read post]
15 Jan 2016, 7:42 am
Teich has also been registered with Gruntal & Co., First Colonial Securities, Paragon Capital Corp (which FINRA reports was “expelled” from FINRA in 2004). [read post]
1 Mar 2020, 10:59 pm
Korea’s Dispute Resolution Law Firm of the Year, Corp. [read post]
2 Oct 2018, 5:48 am
David Taylor Lincoln Financial Securities Corp Christopher Threet JP Morgan Securities LLC Capital One Bank FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
9 Aug 2017, 6:06 am
The post InvenTrust Properties Secondary Market Listing $1.97/share appeared first on White Securities Law. [read post]
2 Apr 2012, 10:45 pm
The first one was: “is White an “investor” in India and has it an “investment” pursuant to the BIT? [read post]
26 May 2020, 5:43 am
A similar claim, excessive trading, under FINRA’s suitability rule involves just the first two elements. [read post]
15 Feb 2021, 7:31 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Thomas Duggan (Duggan), currently employed by Aegis Capital Corp. [read post]
25 Sep 2019, 7:06 am
All brokers are under an obligation to first discuss trades with the investor before executing them under NYSE Rule 408(a) and FINRA Rules 2510(b). [read post]
22 Jan 2023, 10:00 am
A similar claim, excessive trading, under FINRA’s suitability rule involves just the first two elements. [read post]
26 Sep 2019, 9:10 am
All brokers are under an obligation to first discuss trades with the investor before executing them under NYSE Rule 408(a) and FINRA Rules 2510(b). [read post]
22 Nov 2018, 6:00 am
According to BrokerCheck records former financial advisor Thomas Kelley (Kelley), currently employed by Aegis Capital Corp. [read post]
12 Dec 2019, 7:44 am
A similar claim, excessive trading, under FINRA’s suitability rule involves just the first two elements. [read post]
