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