From the Future of Financial Crime Series, featuring interviews with leading industry professionals and thought leaders to learn more about the evolution of financial crime and the trends shaping the future.
Click here to read the interview, The Future of Financial Crime — Insights From Dax White, Managing Partner at The White Law Group, LLC.
Bruce Kelly of Investment News writes about how longtime Triad Advisors broker James “Jim” Walesa faces allegations of selling...
FINRA Sanctions Brokers William Weisbrod and Lilia Nia after Allegations of Illegal Trading Activity FINRA, the regulator who oversees...
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance...
SEC Hits HSBC and Scotiabank with Hefty Fines for Recordkeeping Violations According to the Securities and Exchange Commission, the...
