Tag: broker dealer
Alabama Securities Law
Each state has its own securities laws. The following are selected sections of the Alabama securities laws that are generally applicable in...
Possible Securities Fraud Involving DLG and Lighthouse Capital
The White Law Group is investigating a securities fraud claim involving a recommendation made by Lighthouse Capital Corporation to invest...
Investigation: Freddie Mac and Fannie Mae Preferred Stocks.
We are investigating a possible securities fraud claim on behalf of an investor involving an improper and unsuitable investment...
Cumberland Brokerage Corporation fined and censured by FINRA
FINRA recently announced that Cumberland Brokerage Corporation (a FINRA registered broker-dealer based in Philadelphia, Pennsylvania) has...
BGC Financial, L.P. (a FINRA broker-dealer based in New York City ) fined and censured by FINRA
FINRA (formerly the NASD) recently announced that BGC Financial, L.P. (a FINRA broker-dealer based in New York City ) was censured and...
