October, 2010
Archive

October 29, 2010

FINRA Fines For Mutual Fund Sales Practices

In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures

Read article

October 26, 2010

Regulatory History of Wedbush Securities

The White Law Group reviews securities fraud cases throughout the country, including

Read article

October 21, 2010

Janney Montgomery Scott Regulatory History and Sales Practices

Established in 1832, Janney Montgomery Scott is a Philadelphia, Pennsylvania based

Read article

October 21, 2010

Information Regarding Waddell & Reed’s Sales Practices

Waddell & Reed’s sales practices have been the subject of regulatory inquiry

Read article

October 20, 2010

FINRA Fines Edward Jones For Supervisory And Recordkeeping Failures.

FINRA recently announced that it has fined Edward D. Jones & Co., L.P. of St.

Read article

October 19, 2010

FINRA Fines Deutsche Bank Securities For Negligently Misrepresenting Information On...

FINRA recently announced that it has fined Deutsche Bank Securities, Inc. $7.5m for

Read article

October 18, 2010

FINRA Fines Piper Jaffray For Rules Violations.

FINRA recently announced that it has fined Piper Jaffray & Co. $700,000 for

Read article

October 14, 2010

FINRA Fines HSBC Securities For Unsuitable CMO Sales

FINRA recently announced that it has fined HSBC Securities (USA) Inc. $375,000 for

Read article

October 12, 2010

FINRA Fines H & R Block Financial Advisors (now Ameriprise...

The Financial Industry Regulatory Authority (FINRA) has fined H&R Block

Read article

October 12, 2010

Recovery of Schwab YieldPlus Investment Losses

The White Law Group is investigating securities fraud claims involving the

Read article