Tag: FINRA fine
Penson Financial Services and Pinnacle Capital Markets fined by FINRA.
In February 2010, the Financial Industry Regulatory Authority (FINRA) announced that it had fined Penson Financial Services, a Dallas-based...
Los Angeles based Westpark Capital fined by FINRA
Financial Industry Regulatory Authority (FINRA) recently announced that it has ordered Los Angeles-based Westpark Capital, Inc. to pay a...
Investigation of Chicago Investment Group, LLC
The White Law Group is currently investigating whether Chicago Investment Group financial advisors, including but not limited to, Howard...