FINRA lawyer
Tag Archive

Protecting Investors from Misconduct, FINRA releases FAQ on Rule 4111, featured by top securities fraud attorneys, the White Law Group April 18, 2022

Protecting Investors from Misconduct, FINRA releases FAQ on Rule 4111

FINRA releases FAQ on Rule 4111, Restricted Firm Rule  The Financial Industry

Read article

FINRA Sanctions Crown Capital Securities LP for Compensation Violations, featured by top securities fraud attorneys, the White Law Group March 14, 2022

FINRA Sanctions Crown Capital Securities LP for Compensation Violations 

FINRA Censures and Fines Crown Capital $75,000 for Compensation Violations 

Read article

FINRA Rule 4111: Is your Brokerage Firm on the Naughty List?, featured by top securities fraud attorneys, the White Law Group March 11, 2022

FINRA Rule 4111: Is your Brokerage Firm on the Naughty List? 

FINRA Rule 4111: Is your Brokerage Firm on the Naughty List?  The Financial

Read article

Deutsche Bank Securities, Inc. Hit with$2 Million Fine, featured by top securities fraud attorneys, the White Law Group March 11, 2022

Deutsche Bank Securities, Inc. Hit with $2 Million Fine 

FINRA Fines Deutsche Bank Securities, Inc. $2 Million For Best Execution

Read article

Registered Investment Advisor (RIA) - Securities Fraud Attorneys, featured by top securities fraud attorneys, the White Law Group February 6, 2022

Registered Investment Advisor (RIA) – Securities Fraud Attorneys 

How does a Registered Investment Advisor (RIA) differ from a Broker Dealer?  A

Read article

Kenneth D. Blumberg & Stifel Nicolaus Lawsuit, featured by top securities fraud attorneys, The White Law Group October 10, 2019

Stifel Nicolaus to pay $1.5 Million to 3 Investors

FINRA Award: Customer Complaint against Stifel Nicolaus for Alleged supervisory

Read article