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Tag: FINRA arbitration lawyer

Blog, Securities Fraud Articles

Recovery of Investment Losses from James Scott Mcknee

Have you suffered financial losses as a result of your dealings with ex-broker James Scott McKee? If so, The White Law Group may be able to...

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Blog, Securities Fraud Articles

California Financial Advisor Suspended by FINRA

FINRA recently announced that Paul Grover Gomez a registered representative in El Toro, California has been fined $75,000 and suspended...

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Blog, Securities Fraud Articles

Unified Fiduciary Standard Coming?

The White Law Group continues to follow the SEC discussions regarding the development of a unified fiduciary standard in accordance with...

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Blog, Securities Fraud Articles

FINRA fines Rodman & Renshaw

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory...

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Blog, Securities Fraud Articles

Fidelity Settles FINRA Charges for Ultra Short Bond Fund

According to an Investment News report, Fidelity has agreed to settle with Finra and pay a $375,000 fine over alleged sales violations...

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Blog, Securities Fraud Articles

SEC Bars Former PGR Securities Financial Advisor

On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b)...

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