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August 31, 2010
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Blog, Securities Fraud
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,
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August 31, 2010
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Blog, Securities Fraud
Whether you realized it at the time or not, when you established your brokerage account, you likely entered into an arbitration provision that provides that if you have a dispute with your broker you agree to waive your right to bring that claim in Court and to arbitrate that dispute through FINRA’s Dispute
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August 31, 2010
Comments (0)
Blog, Securities Fraud
Whether you realized it at the time or not, when you established your brokerage account, you likely entered into an arbitration provision that provides that if you have a dispute with your broker-dealer you agree to waive your right to bring that claim in Court and to arbitrate that dispute through FINRA’s Dispute
Read More »
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August 27, 2010
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Blog, Securities Fraud
Whether you realized it at the time or not, when you established your brokerage account, you likely entered into an arbitration provision that provides that if you have a dispute with your broker-dealer you agree to waive your right to bring that claim in Court and to arbitrate that dispute through FINRA’s Dispute
Read More »
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August 27, 2010
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Blog, Securities Fraud
The White Law Group represents investors who have suffered investment losses as a result of investments made with commodities or futures firms. These claims are typically arbitrated through the National Futures Association’s (NFA) dispute resolution process. Arbitration is a process where the parties present their
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August 26, 2010
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Blog, Securities Fraud
Each state has its own securities laws. The following are selected sections of the Wyoming securities laws that are generally applicable in FINRA arbitrations. CHAPTER 4 – SECURITIES 17-4-101. Fraudulent practices prohibited in securities sales and purchases. (a) It is unlawful for any person, in connection with
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August 26, 2010
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Blog, Securities Fraud
Each state has its own securities laws. The following are selected sections of the Wisconsin securities laws that are generally applicable in FINRA arbitrations. DFI−Sec 4.06 Prohibited conduct. (1) The following are deemed “dishonest or unethical business practices” or “taking unfair advantage of a
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August 26, 2010
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Blog, Securities Fraud
Each state has its own securities laws. The following are selected sections of the West Virginia securities laws that are generally applicable in FINRA arbitrations. Pursuant to the authority delegated to the Commissioner by §32-4-402(b)(9) and §32-4-412 of the Code of West Virginia, the following transaction is
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August 26, 2010
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Blog, Securities Fraud
Each state has its own securities laws. The following are selected sections of the Washington securities laws that are generally applicable in FINRA arbitrations. RCW 21.20.035 Unlawful purchases or sales for customer’s account. It is unlawful for a broker-dealer, salesperson, investment adviser, or investment
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August 26, 2010
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Blog, Securities Fraud
Each state has its own securities laws. The following are selected sections of the Virginia securities laws that are generally applicable in FINRA arbitrations. 21VAC5-20-280. Prohibited business conduct. A. No broker-dealer shall: 2. Induce trading in a customer’s account which is excessive in size or frequency
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