FINRA complaint
Tag Archive

January 11, 2011

FINRA Investigates Long Island brokerage firm David Lerner & Associates

According to the New York Post, in May 2010, FINRA accused Long Island brokerage

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January 4, 2011

Former Smith Barney Financial Advisor Sanjeev Jayant Kumar Shah Pleads...

A former Smith Barney financial adviser in New York has plead guilty to attempting

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September 30, 2010

Penson Financial Services and Pinnacle Capital Markets fined by FINRA.

In February 2010, the Financial Industry Regulatory Authority (FINRA) announced that

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August 31, 2010

How to file a complaint against your broker

Whether you realized it at the time or not, when you established your brokerage

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August 27, 2010

How to file a FINRA complaint

Whether you realized it at the time or not, when you established your brokerage

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August 18, 2010

Investigation Into Possible Securities Fraud Involving Northern Trust Securities /...

The White Law Group is investigating a possible securities fraud claim on behalf on

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