Tag: Illinois
Proposed Amendment to FINRA Rule 5122
FINRA is requesting comment on a proposal to amend FINRA Rule 5122, which requires, subject to certain exemptions, disclosure in the...
FINRA Investigates Long Island firm David Lerner & Associates
According to the New York Post, in May 2010, FINRA accused Long Island brokerage firm David Lerner Associates and its head trader, William...
APS Financial Corporation Expelled By FINRA
Financial Industry Regulatory Authority (FINRA) recently announced that it has expelled APS Financial Corporation, located in Austin,...
E-Trade Auction Rate Securities Fraud Investigation
The White Law Group is currently investigating securities fraud claims against New York based brokerdealer E-Trade Securities, LLC ...
Securities Fraud Investigation Involving UBS' PACE Program
The White Law Group is investigating the appropriateness of UBS’ PACE program for certain investors. UBS’ PACE (Personalized Asset...
