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Tag: securities law firm

Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

FINRA Fines Deutsche Bank Securities For Misrepresentation

FINRA recently announced that it has fined Deutsche Bank Securities, Inc. $7.5m for “negligently misrepresenting” delinquency...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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