Florida Securities Fraud and FINRA Arbitration Lawyers

The White Law Group, LLC

595 21st Street
Suite 200

Vero Beach, Florida 32960

Phone(772) 242-9330 or(888) 637-5510

Law Firm Overview

The White Law Group, LLC is a national securities fraud, securities arbitration, and investor protection law firm with offices in Vero Beach, Florida and Chicago, Illinois. The firm is dedicated to the representation of clients who were defrauded in all types of securities related claims.

Areas of Law

Articles Published by The White Law Group, LLC

 Common Litigation Challenges for Financial Advisors

In the securities law arena, there are more issues than just fraud, misrepresentation, breach of contract, etc. Financial advisors are sometimes involved in the following types of litigation problems and should, therefore, be familiar with the following terms: Promissory Notes, Broker Raiding, Regulatory Compliance, Solicitation, Broker Protocol and Sunset Agreements/Sale of Practice.

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 The Financial Advisor Expungement Process

Financial advisors registered with FINRA each have information regarding their experience in the securities industry available on FINRA’s Broker Check. The purpose of BrokerCheck is to help investors make informed choices about brokers and brokerage firms-and to provide easy access to investment adviser information.

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 Overview of Business Development Company (BDC) Investments

A Business Development Company (“BDC”) is a form of investment company that invests in small and mid-sized businesses. Investors can buy shares in a BDC, and the money from their investments is used to fund the businesses. In turn, investors can profit from dividends paid on their investments, or, in some cases, the sale of their shares.

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 Financial Advisor Promissory Notes (Up-front Forgivable Loans)

Promissory Notes (often called an up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley, Merrill Lynch, Wells Fargo, Ameriprise and UBS Financial Services. Essentially, brokerage firms use the up-front forgivable loans to recruit financial advisors from other firms to bring their clients (or “book of business”) to the new firm.

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 Importance of Brokerage Firm Due Diligence on Alternative Investments

“Alternative investments” generally refer to all non-traditional investments – like stocks, bonds, and mutual funds. Examples include oil and gas limited partnerships, non-traded REITs, business development companies, tenant-in-commons, and equipment leasing funds. The commonality is that alternative investments are high-risk, generally illiquid, and pays a high commission to the advisor that recommends them.

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 How To Know If Your Broker Is Churning Your Account

Churning claims arise out of the inherent conflict of interest involved because a financial advisor is compensated by commissions earned in buying and selling securities on behalf of a client. As long as financial advisors are compensated by commissions, the unscrupulous ones will continue to attempt to enrich themselves by excessively trading accounts.

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