FINRA is requesting comment on a proposal to amend FINRA Rule 5122, which requires, subject to certain exemptions, disclosure in the offering document of the intended use of offering proceeds, expenses, and the amount of selling compensation to be paid to the broker-dealer and its associated persons, in any private placement in which a participating [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with over thirty years securities law experience, including experience at FINRA (f/k/a the NASD) and the SEC. The firm has offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits of being located [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with over thirty years securities law experience, including experience at FINRA (f/k/a the NASD) and the SEC. The firm has offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits of being located [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with over thirty years securities law experience, including experience at FINRA (f/k/a the NASD) and the SEC. The firm has offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits of being located [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. 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 [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm. Our firm is dedicated to helping investors in claims against their financial professional or brokerage firm. Our firm is able to help investors who have been the victim of investment fraud throughout Minnesota, including Minneapolis and [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. 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 [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. 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 [...]
FINRA recently announced that Gerald Jamieson Kesner, formerly of Raymond James Financial Services in Lakewood, Colorado, has been barred from association with any FINRA member in any capacity. According to the FINRA announcement, the NAC imposed the sanction following appeal of an OHO decision. The sanction was based on findings that Kesner failed to disclose [...]
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 he [...]