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20 Jan 2012, 12:27 pm
They recently announced the filing of criminal charges against seven more individuals, including hedge fund executives and portfolio managers, as well as guilty pleas by three cooperating defendants of Level Global Investors LP and mutual fund company Neuberger Berman Group LLC. [read post]
30 Oct 2020, 11:21 am by Renae Lloyd
  The post Investor Alert: Frontline Technology Solutions LLC appeared first on The White Law Group. [read post]
26 Nov 2020, 12:09 pm by Renae Lloyd
Independent Financial Group Customer Complaints & Regulatory Actions The White Law Group is investigating potential securities claims involving Independent Financial Group (CRD#: 7717, San Diego, CA) Independent Financial Group, LLC, headquartered in San Diego, California, is dually registered as an investment adviser and broker-dealer. [read post]
2 Jan 2016, 7:58 am by Adam Weinstein
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 Jun 2023, 2:08 pm by The White Law Group
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]
16 Nov 2016, 12:07 pm by Renae Lloyd
According to FINRA, MML Investors Services, LLC (MMLIS) allegedly overcharged 792 customers on sales of mutual funds and have been ordered to pay close to $1.8 million in restitution. [read post]
23 Aug 2017, 11:55 am by Renae Lloyd
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 Vero Beach, Florida. [read post]
2 Jun 2022, 7:35 am by The White Law Group
       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 Seattle, Washington. [read post]