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17 May 2018, 12:45 pm
RBS Reaches $4.9B Deal to Settle US Mortgage Bond Investigation, Reuters, May 9, 2018 Other Blog Posts FINRA Panel Orders UBS to Pay $204K in Puerto Rico Bond Fraud Claim, March 22, 2018 Fund Manager Accused of Losing $178M in Residential Mortgage-Backed Securities is Barred from the Industry, February 16, 2018 The post Royal Bank of Scotland Settles Mortgage Fraud Case for $4.9B appeared first on Securities Fraud Attorney. [read post]
17 May 2018, 12:45 pm
(FINRA Case #2015043939101) Lawrence John Fawcett Jr. [read post]
17 May 2018, 12:45 pm
(FINRA Case #2015043939101) Lawrence John Fawcett Jr. [read post]
17 May 2018, 11:23 am
Investigating Potential Claims The White Law Group has represented numerous investors in FINRA claims against the brokerage firm that recommended non-traded REITs such as ARC New York City REIT to its investors. [read post]
17 May 2018, 11:04 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes. [read post]
17 May 2018, 6:23 am
In a recent FINRA regulatory settlement, we come across the post-mortem condu... [read post]
17 May 2018, 6:23 am
What's a lot? [read post]
17 May 2018, 5:09 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, the Industrial and Commercial Bank of China Financial Services LLC, ("ICBCFS")submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
16 May 2018, 11:31 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visithttp://www.whitesecuritieslaw.com. [read post]
16 May 2018, 4:37 am
BrokerCheck, run by FINRA (the Financial Industry Regulatory Authority), provides not only a work history of every registered broker in the industry, but also a history of customer complaints, disputes, and terminations.Do you read your statements? [read post]
16 May 2018, 3:30 am
This includes registering with the SEC as a broker-dealer and becoming a member of a self-regulatory organization (SRO), such as FINRA. [read post]
15 May 2018, 1:21 pm
Based on FINRA’s BrokerCheck report on Camarco, a complaint was filed on August 23, 2017 alleging that Camarco since approximately 2004 has misappropriated more than $2.8 million in investor funds from her clients and customers while employed at LPL Financial LLC by using her wholly owned company Camarco Investments, Inc. to funnel investor funds to her personal bank account. [read post]
15 May 2018, 1:00 pm
Based on FINRA’s BrokerCheck report on Peterson, a complaint was filed on September 1, 2017 alleging that Peterson provided misleading information to investor clients during his employment at Morgan Stanley Smith Barney. [read post]
15 May 2018, 12:39 pm
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
15 May 2018, 11:45 am
For FINRA’s full findings see FINRA Case #2014041142501. [read post]
15 May 2018, 11:17 am
Speaking of idiots arriving late and messing things up for everyone, consider a recent FINRA expungement arbitration in which... [read post]
15 May 2018, 11:11 am
For FINRA’s full findings see FINRA Case #2014039169601. [read post]
15 May 2018, 11:03 am
If so, the securities attorneys may be able to help you through FINRA Arbitration. [read post]
15 May 2018, 10:59 am
For FINRA’s full findings see FINRA case # 2017056500901. [read post]
15 May 2018, 9:21 am
If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
