Finra Supervision Archives - The White Law GroupThe White Law Group | Securities Fraud Attorneys and FINRA Arbitration Lawyers

Finra Supervision
Tag Archive

February 17, 2021

Member Firms ask FINRA to Redefine Supervision after Working Remotely

Brokerages firms ask FINRA to revise rules and relax its requirements for in-person

FINRA Award: UBS to Pay Investors $358,000 for YES Strategy
September 17, 2021
RBC Capital Markets to pay $800,000 for Unfair Dealing in Municipal...
September 17, 2021
Deutsche Bank Securities Censured & Fined
September 13, 2021
William “Jeff” Michero, Cambridge Investments, Barred from the Securities Industry
September 13, 2021

(312) 238-9650 | Fax (312) 238-8950 | (888) 637-5510 | 125 S. Wacker Drive, Suite 300, Chicago, Illinois 60606

The information you obtain at this site is not, nor is it intended to be, legal advice. You should consult an attorney for individual advice regarding your own situation. You may reproduce materials available at this site for your own personal use and for non-commercial distribution. All copies must include this copyright statement. © 2015 by The White Law Group, LLC All rights reserved.

Finra Supervision
Tag Archive

Member Firms ask FINRA to Redefine Supervision after Working Remotely

THE WHITE LAW GROUP

Investment Losses?

Recent Posts

FINRA Award: UBS to Pay Investors $358,000 for YES Strategy

RBC Capital Markets to pay $800,000 for Unfair Dealing in Municipal...

Deutsche Bank Securities Censured & Fined

William “Jeff” Michero, Cambridge Investments, Barred from the Securities Industry

<img src="https://www.whitesecuritieslaw.com/wp-content/uploads/2019/11/logo_web_wht2.png" alt="The White Law Group"/>

Finra Supervision Tag Archive

Member Firms ask FINRA to Redefine Supervision after Working Remotely

THE WHITE LAW GROUP

Investment Losses?

Recent Posts

FINRA Award: UBS to Pay Investors $358,000 for YES Strategy

RBC Capital Markets to pay $800,000 for Unfair Dealing in Municipal...

Deutsche Bank Securities Censured & Fined

William “Jeff” Michero, Cambridge Investments, Barred from the Securities Industry

Finra Supervision
Tag Archive