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January 15, 2019
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Blog, Securities Fraud
“Selling Away” Can a FINRA brokerage firm be held responsible for “Selling Away”? When a licensed securities agent sells an investment to his/her client that was not approved by their employer, that is in violation of FINRA Rules and Regulations. The following is a brief discussion on what
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January 24, 2012
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Blog, Securities Fraud
It is being reported that Bank of America, the second- biggest U.S. lender by assets, may reduce annual costs by as much as an additional $3 billion in the next stage of Chief Executive Officer Brian T. Moynihan’s efficiency plan (the company has already reduced costs by as much as $2 billion). It appears
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February 4, 2011
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Blog, Securities Fraud
Financial Advisor Attorney – FINRA Employment Lawyer The White Law Group represents financial advisors in a variety of securities / employment related disputes. As experienced securities attorneys, employment law is a natural part of the firm’s practice. The firm represents financial advisors throughout the
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