broker dealer
Tag Archive

January 26, 2011

Merrill Lynch Settles Securities Fraud Charges

Merrill Lynch recently agreed to pay a $10 million fine to settle civil securities

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November 26, 2010

Largest Independent Broker-Dealers

According to the Investment News, the following are the top broker-dealers (ranked

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November 10, 2010

Recovery of Hedge Fund Investment Losses

If you have suffered investment losses in a hedge fund recommended to you by your

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November 2, 2010

Recovery of Ultra ProShares Investment Losses

The White Law Group is investigating securities fraud claims involving  ProShares

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October 26, 2010

Regulatory History of Wedbush Securities

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

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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.

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October 18, 2010

FINRA Fines Piper Jaffray For Rules Violations.

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

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September 20, 2010

Securities Fraud Investigation Involving 1861 Capital Discovery Domestic Fund

The White Law Group is investigating possible securities fraud involving the

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September 10, 2010

Securities Fraud Investigation Involving Reverse Convertible Notes

The White Law Group is investigating the appropriateness of reverse convertible

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August 27, 2010

How to file a FINRA complaint

Whether you realized it at the time or not, when you established your brokerage

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