Tag: Chicago securities employment attorney
FINRA Rule 8210: Responding to Information Request
Responding to FINRA Rule 8210 Information Request If you are a financial advisor and have received an official-looking letter from FINRA...
Chicago Securities Arbitration Attorney
The White Law Group is a national securities fraud, securities arbitration, investor protection and securities regulatory/compliance law...
Securities Employment Claims | Attorneys for Financial Advisors
Securities Employment Claims – Securities Attorneys for Financial Advisors – Updated May 23, 2019 Are you a financial advisor...
Merrill Lynch Fined Over Promissory Note Clauses
It is being reported in the Investment News that Merrill Lynch Pierce Fenner & Smith Inc. has agreed to pay $1 million to settle...
FINRA Arbitration Claim Filed Against Oppenheimer & Co., Inc.
The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against...
