-
January 15, 2019
Comments (0)
Blog, Securities Fraud
“Selling Away” – Can FINRA brokerage firm’s be held responsible for the investment losses incurred on investments sold directly by their agent/advisor to the client even if the investment was not authorized by the firm? The following is a brief discussion on what has become known as “selling
Read More »
-
December 28, 2018
Comments (0)
Blog
FINRA – Essential Investor Tips for 2019 The Financial Industry Regulatory Authority (FINRA) just released an Investor Alert on essential investor tips for 2019. Begin your retirement planning. If you continue to wait until you have enough money to save for retirement, you may never save a dime. Talk to your
Read More »
-
November 1, 2017
Comments (0)
Blog
Regulatory Functions of the SEC and FINRA Obviously, the securities arena has rules and guidelines to follow. Have you ever asked yourself who regulates brokerage firms and the securities industry? Who writes the laws dealing with securities? Who actually punishes violators of the rules and guidelines? Many of these
Read More »
-
August 2, 2017
Comments (0)
Blog, Current Investigations, Securities Fraud
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. Morgan Securities LLC, and Interactive Brokers LLC have been censured and fined a total of $4.75 million for violations of various provisions of the
Read More »
-
June 27, 2013
Comments (0)
Blog, Securities Fraud
According to the Financial Industry Regulatory Authority (FINRA), StateTrust Investment Inc has been fined $1.045 million by FINRA and ordered to pay more than $353,000 in restitution to customers for charging excessive markups and markdowns in fraudulent corporate bond transactions. In addition, FINRA fined the
Read More »
-
July 12, 2012
Comments (0)
Blog, Securities Fraud
Securities Attorneys for Financial Advisors Are you a financial advisor with a securities employment dispute with your former employer? If so, The White Law Group may be able to help you. Licensed financial professionals, registered with FINRA, can face a variety of legal actions that can affect their ability to
Read More »
-
January 7, 2011
Comments (0)
Blog, Securities Fraud
The White Law Group often serves as local counsel throughout California for out-of-state attorneys in FINRA securities arbitration matters. California Bar Rules require that an attorney be licensed in the state of California to participate in a California arbitration or that the attorney partner with a local
Read More »
-
October 31, 2010
Comments (0)
Blog, Securities Fraud
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. The firm is dedicated to assisting investors who have suffered investment losses as a result of their financial
Read More »
