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September 2, 2011
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Blog, Securities Fraud
Andrew Haigney recently wrote an interesting article for businessinsider.com where he called investment advice “one of the greatest scams of our time.” His motivation for writing his article was to expand on the theme of Yale University’s Chief Investment Officer David Swensen’s August NY Times Opinion piece
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January 13, 2011
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Blog, Securities Fraud
Financial Advisors have a fiduciary duty to research investments and to make sure that every investment they recommend is suitable for the client. This obligation is typically called the “Know Your Customer” Rule. Generally, in order to determine whether an investment is suitable, a stockbroker must know the
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August 26, 2010
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Blog, Securities Fraud
Each state has its own securities laws. The following are selected sections of the Minnesota securities laws that are generally applicable in FINRA arbitrations. 2876.5023 PROHIBITED CONDUCT IN PROVIDING INVESTMENT ADVICE. Subpart 1. Fiduciary duty. A person who is an investment adviser or a federal covered investment
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August 26, 2010
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Blog, Securities Fraud
Each state has its own securities laws. The following are selected sections of the Alaska securities laws that are generally applicable in FINRA arbitrations. AS 45.55.023. Unethical Business Practices of State Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers. (a) A person who is a
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June 5, 2010
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Blog, Securities Fraud
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. The White Law Group has its offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits
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