Tag: Chicago
FINRA Rules on Private Placement Investments
Private Placement Investments have become a hot button issue for FINRA regulators and securities attorneys representing investors. The...
Recovery of 1861 Capital Management Fund Losses
The White Law Group is investigating potential claims on behalf of investors who invested in the 1861 Capital Management municipal...
Proposed Amendment to FINRA Rule 5122
FINRA is requesting comment on a proposal to amend FINRA Rule 5122, which requires, subject to certain exemptions, disclosure in the...
FINRA Investigates Long Island firm David Lerner & Associates
According to the New York Post, in May 2010, FINRA accused Long Island brokerage firm David Lerner Associates and its head trader, William...
Municipal Arbitrage Fund Securities Investigation
The White Law Group is investigating potential claims on behalf of investors who invested in the following municipal arbitrage funds: 1861...
