The White Law Group is investigating securities fraud claims on behalf of investors involving CIT InterNotes.
The sale of CIT InterNotes to individual retail clients resulted from institutional investors growing reluctance to lend to CIT Group Inc. as they became increasingly aware of CIT’s deteriorating financial condition. By selling to individual retail clients, CIT was able [...]
FINRA recently announced that Henry Thomas Goode, a former registered representative with Wachovia Securities in Indialantic, Florida, has been fined $5,000 and suspended from association with any FINRA member in any capacity for 60 days. Without admitting or denying the findings, Goode consented to the described sanctions and to the entry of findings that [...]
FINRA recently announced that Thailia Alisa Tucker, a former financial advisor for Wachovia Securities, LLC in Miami , Florida , has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Tucker consented to the described sanction and to the entry of findings that she misappropriated approximately [...]
FINRA recently announced that Maria Duarte Pumariega, a financial advisor formerly registered with Wachovia Securities in Miami, Florida, has been barred from association with any FINRA brokerage firm in any capacity. The sanction was based on findings that Pumariega, without permission or authority, converted approximately $140,000 in customer funds for her own purposes. [...]
Maria Anne Harding, registered as a financial advisor with Wachovia Securities LLC from May 2007 through July 2009, has been suspended from FINRA for a period of three months. Without admitting or denying, Harding consented to the findings that while he was registered with Wachovia she falsified a customer’s Individual Retirement Account opening documents [...]