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 often serves as local counsel throughout Florida for out-of-state attorneys in FINRA securities arbitration matters. Florida Bar Rules require that an attorney be licensed in the state of Florida to participate in a Florida arbitration or that the attorney partner with a local attorney. The White Law Group, LLC is a [...]
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 [...]
It is not uncommon for foreign investors to seek to establish an investing relationship with a United States based broker-dealer (either because the client is seeking the security of investing in U.S. investments, or because these firms provide the client with the ability to discreetly invest their assets outside of their home country). Whether the [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm. 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 Dispute Resolutions offices in those cities (FINRA’s Southeast headquarters [...]
FINRA recently announced that James Cordell Wisdom III, formerly a financial advisor with Natcity Investments, Inc. in Norwood, Ohio, has been barred association with any FINRA member in any capacity. Without admitting or denying the findings, Wisdom consented to the described sanction and to the entry of findings that he executed an unauthorized sale of [...]