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30 Mar 2018, 2:38 pm
On March 27, 2018 the Securities and Exchange Commission (“SEC”) announced charges against Wedbush Securities Inc. [read post]
24 Jan 2022, 8:00 am
Peloton Interactive Inc. [read post]
10 Sep 2019, 9:46 am
Vereit Inc. [read post]
14 Feb 2022, 7:24 am
The White Law Group continues to investigate GWG Holdings Inc. and the liability that brokerage firms may have for unsuitably recommending GWG offerings to investors. [read post]
3 Jan 2017, 9:08 am
Medtronic, Inc., December 28, 2016, Gruender, R.). [read post]
16 Apr 2012, 1:27 pm
While employed by SunTrust Banks, Inc. [read post]
1 Nov 2022, 2:05 pm
The post Broker Timothy Higgins Barred by FINRA In Connection with an Investigation into Excessive Trading and Unsuitable Recommendations appeared first on Experienced Investor Advocates. [read post]
1 Nov 2022, 2:05 pm
The post Broker Timothy Higgins Barred by FINRA In Connection with an Investigation into Excessive Trading and Unsuitable Recommendations appeared first on Experienced Investor Advocates. [read post]
1 Nov 2022, 2:05 pm
The post Broker Timothy Higgins Barred by FINRA In Connection with an Investigation into Excessive Trading and Unsuitable Recommendations appeared first on Experienced Investor Advocates. [read post]
15 Dec 2021, 6:04 am
On July 26, 2021, Steadfast Apartment REIT, Inc. and Independence Realty Trust, Inc. [read post]
15 Mar 2021, 10:18 am
Aphria inc., 2021 QCCS 534, the Superior Court of Quebec (the “Court”) dismissed a class action lawsuit brought by investors who acquired Aphria's securities on the secondary market, judging that it did not have jurisdiction over the matter. [read post]
24 Sep 2021, 2:18 pm
Earlier investors are typically given “returns” which consist of principal coming from newer investors. [read post]
17 Apr 2023, 7:03 am
“Roshan” Perera was reportedly arraigned on a 16-count indictment charging him with securities fraud, investment advisor fraud, wire fraud, and money laundering, in connection with a scheme to induce an investor to purchase stock in companies that traded on the NASDAQ and New York Stock Exchange (NYSE). [read post]
10 Feb 2021, 8:32 am
The White Law Group continues to investigate potential securities claims involving broker dealers who may have improperly recommended SmartStop Self Storage REIT Inc. to investors. [read post]
31 Mar 2015, 7:47 am
Heu claimed to be an officer of Liquid Assets & Land Investments Inc. and Capital Land Investments LLC. [read post]
16 Aug 2023, 9:04 am
Securities America Inc. [read post]
17 Jun 2011, 7:18 am
Securities regulator FINRA (the Financial Industry Regulatory Authority) recently accused David Lerner Associates, Inc. of misleading investors, and not conducting due diligence, in connection with its sales of non-traded REITs, particularly its current offering, Apple REIT 10. [read post]
23 Nov 2015, 1:38 pm
FINRA announced that it has filed a complaint against Cantone Research Inc. [read post]
6 Jun 2012, 5:00 am
In re Merrill Lynch Auction Rate Securities Litigation arose out of an action by an investor, Louisiana Pacific Corporation (“plaintiff”) filed suit against underwriters Merrill Lynch & Co. and Merrill Lynch, Pierce, Fenner and Smith Inc. [read post]
10 Oct 2014, 3:14 pm
Former Commissioner Steven Wallman, the founder and CEO of Foliofn, Inc., said there is no support for providing preliminary results to one side and not the other. [read post]
