The White Law Group, LLC » attorney

Former FINRA Vice-President and Regional Director Rose M. Schindler is now Of Counsel to The White Law Group

CarterPA — Sun, 27 Jun 2010 13:41:43 +0000

The White Law Group is pleased to announce that Rose M. Schindler, former FINRA Vice-President and Regional Director, is now acting in an Of Counsel capacity to the firm.

Rose Schindler has over 25 years of experience as a securities attorney and she will be working in the firm’s Boca Raton, Florida office. Ms. Schindler is a member of the Florida and California Bar Associations. Prior to entering private practice, Ms. Schindler was the Vice President and Regional Director of FINRA’s Southeast Regional Office of Dispute Resolution in Boca Raton, Florida. She is also a former Associate Regional Director of the U.S. Securities and Exchange Commission’s Miami, Florida regional office, and a former in-house securities litigation attorney with A.G. Edwards. Ms. Schindler is a huge asset to the firm’s securities practice group.

In addition to representing investors in claims against their broker-dealer, Ms. Schindler also handles many securities regulation and compliance matters, as well as acting as an expert witness in various securities related litigation matters.

The White Law Group is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. The firm has over 30 years of experience reviewing securities fraud claims and handles matters throughout the country. To contact the firm, please call 312-238-9650 or 561-961-5411. Or, for more information on The White Law Group, please visit our website at http://www.whitesecuritieslaw.com.

Jackson, Mississippi Securities Fraud / Broker Fraud Attorney

CarterPA — Fri, 25 Jun 2010 15:17:56 +0000

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm.

The White Law Group has its offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits of being located so close to the FINRA Dispute Resolutions offices in those cities (FINRA’s Southeast headquarters is located at Boca Center Tower 1, 5200 Town Center Circle, Boca Raton, FL 33486- less than one mile from our office, and FINRA’s Midwest headquarters is located at 55 West Monroe Street, Suite 2600, Chicago, IL 60603-1002- close to the firm’s Chicago office).

Having our offices located so close to FINRA’s regional headquarters has its advantages, particularly since all cases filed in the southeast portion of the United States are administered out of FINRA’s Boca Raton, Florida Dispute Resolution office, and all cases in the Midwest portion of the United States are administered out of FINRA’s Chicago, Illinois Dispute Resolution office.

Although located in Chicago, Illinois and Boca Raton, Florida, The White Law Group handles securities fraud cases throughout the country and Mississippi, including reviewing securities fraud cases in Jackson, Oxford, Hattiesburg, Meridian, Brookhaven, and Biloxi. With over 30 years of securities law experience, including experience working at FINRA (f/k/a the NASD) and the SEC, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions.

To contact The White Law Group, please call 312-238-9650. Or, for more information about The White Law Group or securities fraud, you can also visit our website at http://www.whitesecuritieslaw.com.

Springfield, Illinois Securities Fraud / Broker Fraud Attorney

CarterPA — Tue, 22 Jun 2010 20:48:11 +0000

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm.

Although located in Chicago, Illinois and Boca Raton, Florida, The White Law Group handles securities fraud cases throughout the country and Illinois, including reviewing securities fraud cases in Springfield, Peoria, Champaign, Decatur, Aurora, Rockford, and Naperville. With over 30 years of securities law experience, including experience working at FINRA (f/k/a the NASD) and the SEC, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions.

To contact The White Law Group, please call 312-238-9650. Or, for more information about The White Law Group or securities fraud, you can also visit our website at http://www.whitesecuritieslaw.com.

Charles James Moni fined and suspended from FINRA for securities violations.

CarterPA — Tue, 08 Jun 2010 20:56:01 +0000

FINRA recently announced that Charles James Moni, a financial advisor formerly registered with Jesup & Lamont Securities Corp, a FINRA broker-dealer based in Edison, New Jersey, has been fined $39,013, which includes disgorgement of $29,013 representing commissions received, and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the findings, Moni consented to the described sanctions and to the entry of findings that he recommended and executed an unsuitable investment strategy in an elderly beneficiary’s trust account that significantly increased the level of volatility in the account, amplified the risk of loss and increased costs.

According to his FINRA Broker Report (CRD), prior to working as a financial advisor at Jesup & Lamont Securities, Charles James Moni was a registered representative with Legg Mason Wood Walker, a FINRA registered broker-dealer based in Baltimore, Maryland, and Tucker Anthony, Incorporated, a FINRA registered broker-dealer based in Boston, Massachusetts.

If you have questions regarding investments you made with Charles James Moni, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. The White Law Group is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. The firm has over 30 years of experience reviewing securities fraud claims and handles matters throughout the country and New Jersey, including reviewing securities fraud cases in Princeton, Edison, Newark, Trenton, and Clifton. To contact the firm, please call 312-238-9650. Or, for more information on The White Law Group, please visit our website at http://www.whitesecuritieslaw.com.

The Securities Fraud Blog of The White Law Group and D. Daxton White

CarterPA — Mon, 24 May 2010 13:14:25 +0000

As of today’s date, the securities fraud blog of David A. Carter and the Law Offices of David A. Carter, P.A. will be handled by The White Law Group and D. Daxton White.

The White Law Group is a national securities fraud, securities arbitration, investor protection and securities regulation/compliance law firm with offices in Boca Raton, Florida and Chicago, Illinois. The firm has over 30 years of securities litigation experience including experience representing customers and brokerage firms, and experience working at FINRA and the Securities and Exchange Commission.

To contact The White Law Group, please call either 312/238-9650 or 561/961-5411. Or, for more information on the firm, please visit the firm’s website at http://www.whitesecuritieslaw.com.

GunnAllen Financial Securities Fraud Alert

CarterPA — Sat, 06 Feb 2010 19:22:46 +0000

On Sept. 28, 2009, the Securities and Exchange Commission (SEC) officially charged former GunnAllen Financial broker Frank Bluestein with fraud, alleging he helped run a $250 Ponzi scheme that entailed luring investors to refinance their home mortgages. The SEC did not name GunnAllen in its complaint. However, in April 2008, seven investors who said they lost their life savings at the hands of Bluestein sued GunnAllen, claiming the company “utterly failed to inquire into, monitor, and prevent” the multimillion-dollar scam for which Bluestein is now accused of allegedly committing.
GunnAllen Financial has been named in numerous other securities fraud claims brought by investors. In 2008, for example, former GunnAllen broker Jeffrey Southard was accused of selling $1.4 million of fraudulent bonds to senior citizens as part of a Ponzi scheme he allegedly conducted while working for GunnAllen. Before that, Southard worked for Ameriprise Financial, where he was accused of selling fraudulent, nonexistent, and unregistered securities and combining client funds with his own money.
In 2008, another GunnAllen broker, David Adler, was the subject of enforcement actions by the Oklahoma Department of Securities, which charged Adler of transacting business as an unregistered agent while employed at GunnAllen. Six years earlier, while working for Bear Stearns, a client accused Adler of churning, overconcentration, constructive fraud, and breach of fiduciary duty. On Sept. 19, 2003, a FINRA arbitration panel ruled in favor of the claimants, awarding them more than $30,000. The Panel also held Bear Steams liable for its failure to supervise Adler at the time.

Additionally, GunnAllen Financial’s CEO, John Sykes, recently resigned and there are questions as to whether the firm is currently maintaining the required net capital to operate as a registered broker-dealer. Reports Investment News:
“Inquiries into a firm’s net capital are among the most serious in the securities business. If the Financial Industry Regulatory Authority Inc. discovers that a broker-dealer is without sufficient net capital, it will shut down that firm almost immediately.”
According to Investment News, on Dec. 8, 2009 FINRA officials arrived at the Tampa headquarters of GunnAllen to determine the firm’s capital position. The story adds that while GunnAllen does not disclose its assets under management, based on the number of advisers, industry experts say regulators would want the firm to have a minimum of between $100,000 and $250,000 in net capital on reserve to stay open for business.
If you have questions about investments you made with GunnAllen Financial, or if you believe that you have been the victim of a securities fraud, the Law Offices of David A. Carter, P.A. may be able to help. David A. Carter is a securities lawyer based in Boca Raton, Florida. He reviews securities fraud cases throughout the country and Florida, including reviewing securities fraud cases in Tampa, St. Petersburg, Clearwater, Bradenton, Fort Myers, Naples, and Port Charlotte. For more information on the firm’s securities fraud practice, please visit http://www.carterpa.com. To contact the Law Offices of David A. Carter, P.A., please call 561-750-6999 or email us at contact@carterpa.com.

Jacksonville, Florida Securities Fraud Attorney

CarterPA — Sat, 06 Feb 2010 19:10:14 +0000

The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton, Florida.
The Law Offices of David A. Carter, P.A. has its office in Boca Raton, Florida because of the obvious benefits of being located so close to FINRA Dispute Resolutions’ Southeast headquarters (FINRA’s Southeast office is located at Boca Center Tower 1, 5200 Town Center Circle, Boca Raton, FL 33486- less than one mile from our office).
Having our office located so close to FINRA’s Southeast headquarters has its advantages, particularly since all cases filed in the southeast portion of the United States are administered out of FINRA’s Boca Raton, Florida Dispute Resolution office. In fact, any securities fraud cases filed with FINRA on behalf of a customer living in Florida, Georgia, Alabama, North Carolina, South Carolina, Mississippi, Arkansas, Tennessee, Louisiana, Virginia, Puerto Rico, Delaware, and Washington, D.C. will likely be assigned to FINRA’s Southeast Region office and administered out of the Boca Raton, Florida office.
Although located in Boca Raton, Florida, the Law Offices of David A. Carter, P.A. handles securities fraud cases throughout Florida and the country, including reviewing and handling securities fraud cases in Jacksonville, St. Augustine, Fernandina Beach, Palm Coast, Daytona Beach, and Orlando.
It should be noted, that in addition to Boca Raton, Florida, FINRA Dispute Resolution’s Southeast Region has hearing locations for investor claims/securities fraud cases in Atlanta, Georgia; Baltimore, Maryland; Birmingham, Alabama; Charlotte, North Carolina; Columbia, South Carolina; Ft. Lauderdale, Florida; Jackson, Mississippi; Jacksonville, Florida; Little Rock, Arkansas; Memphis, Tennessee; Miami, Florida; Nashville, Tennessee; New Orleans, Louisiana; Norfolk, Virginia; Orlando, Florida; Raleigh, North Carolina; Richmond, Virginia; San Juan, Puerto Rico; Tampa, Florida; Washington, DC; and Wilmington, Delaware. Accordingly, just because a case filed in the Southeast portion of the country is administered by FINRA’s Boca Raton, Florida office, does not mean that a customer’s case will be heard in Boca Raton. Generally speaking, FINRA will select the hearing location closest to the investor’s residence. The Law Offices of David A. Carter, P.A. is set up to handle securities fraud cases at any of FINRA’s hearing locations.
To contact the Law Offices of David A. Carter, P.A., please call 561-750-6999, or email us at contact@carterpa.com. For more information about the Law Offices of David A. Carter, P.A. or securities fraud, you can also visit our website at http://www.carterpa.com.

Fort Lauderdale Securities Fraud Attorney

CarterPA — Mon, 21 Dec 2009 16:20:06 +0000

The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton.

The Law Offices of David A. Carter, P.A. has its office in Boca Raton, Florida because of the obvious benefits of being located so close to FINRA Dispute Resolutions’ Southeast headquarters (FINRA’s Southeast office is located at Boca Center Tower 1, 5200 Town Center Circle, Boca Raton, FL 33486- less than one mile from our office).

Having our office located so close to FINRA’s Southeast headquarters has its advantages, particularly since all cases filed in the southeast portion of the United States are administered out of FINRA’s Boca Raton, Florida Dispute Resolution office. In fact, any securities fraud cases filed with FINRA on behalf of a customer living in Florida, Georgia, Alabama, North Carolina, South Carolina, Mississippi, Arkansas, Tennessee, Louisiana, Virginia, Puerto Rico, Delaware, and Washington, D.C. will likely be assigned to FINRA’s Southeast Region office and administered out of the Boca Raton, Florida office.

Although located in Boca Raton, Florida, the Law Offices of David A. Carter, P.A. handles securities fraud cases throughout Florida and the country, including reviewing and handling securities fraud cases in Aventura, Miami, Sunrise, Plantation, Hollywood, Coconut Grove, Coral Gables, and Lighthouse Point.

It should be noted, that in addition to Boca Raton, Florida, FINRA Dispute Resolution’s Southeast Region has hearing locations for investor claims/securities fraud cases in Atlanta, Georgia; Baltimore, Maryland; Birmingham, Alabama; Charlotte, North Carolina; Columbia, South Carolina; Ft. Lauderdale, Florida; Jackson, Mississippi; Jacksonville, Florida; Little Rock, Arkansas; Memphis, Tennessee; Miami, Florida; Nashville, Tennessee; New Orleans, Louisiana; Norfolk, Virginia; Orlando, Florida; Raleigh, North Carolina; Richmond, Virginia; San Juan, Puerto Rico; Tampa, Florida; Washington, DC; and Wilmington, Delaware. Accordingly, just because a case filed in the Southeast portion of the country is administered by FINRA’s Boca Raton, Florida office, does not mean that a customer’s case will be heard in Boca Raton. Generally speaking, FINRA will select the hearing location closest to the investor’s residence. As such, for a Fort Lauderdale resident, for example, FINRA will likely select Fort Lauderdale for the hearing location but the case will still be administered out of the Boca Raton FINRA office. The Law Offices of David A. Carter, P.A. is set up to handle securities fraud cases at any of FINRA’s hearing locations, including the Fort Lauderdale location.

To contact the Law Offices of David A. Carter, P.A., please call 561-750-6999, or email us at contact@carterpa.com. For more information about the Law Offices of David A. Carter, P.A., you can also visit our website at http://www.carterpa.com.