Month: September 2012
SEC Approves Rules to Improve Transparency for Bonds
It is being reported that the U.S. Securities and Exchange Commission (the SEC) recently approved regulations that will prevent banks from...
Merrill Lynch sanctioned by FINRA over Brokercheck disclosures.
The Financial Industry Regulatory Authority (FINRA) recently announced that it has censured and fined Merrill Lynch, Pierce, Fenner &...
SEC Suspends Trading in the Securities of 16 Companies in Ongoing Effort to Combat Microcap Stock Fraud
The Securities and Exchange Commission recently announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange...
Recovery of Winex Investments, LLC foreign currency losses
Have you suffered investment losses in Winex Investments, LLC, a foreign currency investment? If so, The White Law Group may be able to...
SEC charges Advanced Equities with misrepresentations
The Securities and Exchange Commission recently charged the co-founder of a Chicago-based investment firm with misleading investors in two...
