Tag: securities law firm
Securities Fraud Investigation Involving Provident Royalties, LLC
The White Law Group is investigating securities fraud claims involving Provident Royalties, LLC. Specifically, the firm is investigating...
Janney Montgomery Scott Regulatory History and Sales Practices
Established in 1832, Janney Montgomery Scott is a Philadelphia, Pennsylvania based FINRA broker-dealer. Janney Montgomery Scott has from...
FINRA Fines Edward Jones For Supervisory Failures
FINRA recently announced that it has fined Edward D. Jones & Co., L.P. of St. Louis $900,000 for its failure to timely deliver official...
FINRA Fines Deutsche Bank Securities For Misrepresentation
FINRA recently announced that it has fined Deutsche Bank Securities, Inc. $7.5m for “negligently misrepresenting” delinquency...
FINRA Fines Piper Jaffray For Rules Violations.
FINRA recently announced that it has fined Piper Jaffray & Co. $700,000 for violations related to its failure to retain approximately...
Rockford, Illinois Securities Fraud / Broker Fraud Attorney
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance...