FINRA enforcement proceeding
Tag Archive

• Federal Appeals Court Rules against FINRA on Fine Collection Issue

  October 7, 2011 Comments (0) Blog, Securities Fraud

  Multiple outlets are reporting that a Manhattan federal appeals court has ruled that FINRA is not able to pursue fines by taking their members or former members to court. The case at the root of this ruling began more than a decade ago. The New York Times noted  that “The surprise decision on appeal… came

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• Securities Regulation and Compliance Attorney

  September 17, 2010 Comments (0) Blog, Securities Fraud

  Are you a financial advisor or registered representative who needs legal representation in a regulatory inquiry brought by FINRA, the SEC, or a State Regulatory body? The White Law Group may be able to help. With over 30 years of securities experience, including substantial experience working at the SEC and FINRA on

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