Chicago
Tag Archive

January 17, 2011

Proposed Amendment to FINRA Rule 5122

FINRA is requesting comment on a proposal to amend FINRA Rule 5122, which requires,

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January 13, 2011

FINRA Know Your Customer Rule

Financial Advisors have a fiduciary duty to research investments and to make sure

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January 11, 2011

FINRA Investigates Long Island brokerage firm David Lerner & Associates

According to the New York Post, in May 2010, FINRA accused Long Island brokerage

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January 7, 2011

Municipal Arbitrage Fund Securities Investigation

The White Law Group is investigating potential claims on behalf of investors who

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January 7, 2011

Local California Counsel for FINRA Arbitrations

The White Law Group often serves as local counsel throughout California for

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January 4, 2011

Former Smith Barney Financial Advisor Sanjeev Jayant Kumar Shah Pleads...

A former Smith Barney financial adviser in New York has plead guilty to attempting

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January 3, 2011

APS Financial Corporation Expelled By FINRA

Financial Industry Regulatory Authority (FINRA) recently announced that it has

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December 31, 2010

Auction Rate Securities Fraud Investigation

The White Law Group is currently investigating securities fraud claims against New

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December 28, 2010

Securities Fraud Investigation Involving UBS' PACE Program

The White Law Group is investigating the appropriateness of UBS’ PACE program for

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December 28, 2010

Investigation Into Kenneth McLeod Alleged Ponzi Scheme

The White Law Group is investigating potential claims involving the alleged Ponzi

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