Month: November 2009
Anderson & Strudwick fined and censured by FINRA
FINRA recently announced that Anderson & Strudwick (a FINRA broker-dealer based in Richmond, Virginia ) has been fined $10,000 and...
Wadsworth Investment Co., Inc. fined and censured
FINRA recently announced that Wadsworth Investment Co., Inc. and William Frederick Wadsworth of Wallingford, Connecticut have been fined...
Fortune Financial and Brian Lee Daniels fined and censured
FINRA recently announced that Fortune Financial Services, Inc. (a FINRA registered broker-dealer based in New Brighton, Pennsylvania ) and...
FINRA Rules regarding Discretionary Accounts
As provided for in FINRA Notice to Member (NTM) 09-63, the following rules currently apply to discretionary brokerage accounts: FINRA Rule...
Boynton Beach Securities Fraud Attorney
The White Law Group is a securities fraud, securities arbitration, and investor protection, law firm with offices in Chicago, Illinois and...
