Tag Archive

FINRA settles with 56 Firms for mutual fund overcharges, Featured by Top Securities Fraud Attorneys, The White Law Group July 19, 2019

FINRA Settles with 56 Firms over Mutual Fund Waiver Initiative

56 Settlements with Member Firms & $89 Million in Restitution According to a

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Janney Montgomery Scott Supervisory Failures, Featured by Top Securities Fraud Attorneys, The White Law Group May 9, 2019

Janney Montgomery Scott | Supervisory Failures

Janney Montgomery Scott Sanctioned for Supervisory Failures with Mutual Fund Charges

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FINRA exam priorities January 25, 2019

FINRA’s 2019 Exam Priorities

FINRA warns about online platforms and other issues affecting investors The

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Financial Advisor Misconduct August 30, 2018

Can FINRA Protect Investors from Financial Advisor Misconduct ?

Financial Advisor Misconduct – new study says 1 in 10 advisors has severe

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FINRA March 23, 2018

What is FINRA? The Financial Industry Regulatory Authority

What is FINRA? FINRA stands for Financial Industry Regulatory Authority. FINRA is

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FINRA November 1, 2017

The SEC and FINRA – Securities Industry Regulators

Regulatory Functions of the SEC and FINRA Obviously, the securities arena has rules

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FINRA July 10, 2017

FINRA Bars Clay E. Hoffman from the Securities Industry

FINRA June 2017 Disciplinary Report According to the Financial Industry Regulatory

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FINRA July 10, 2017

FINRA Bars Gregg Templeton from the Securities Industry

FINRA June 2017 Disciplinary Report According to FINRA, Gregg Templeton (CRD

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investment fraud June 8, 2017

Investor Alert: Recognizing Senior Investment Fraud

The SEC’s Office of Investor Education and Advocacy recently issued an Investor

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Broker churning January 23, 2017

How to Find out if your Financial Advisor has a...

  According to reports, more than half of all households use a financial

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