securities compliance
Tag Archive

November 17, 2011

FINRA Wants “Senior Designations” to Have Real Meaning

According to a recent article the Financial Industry Regulatory

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October 26, 2011

UBS Fined $12 million by FINRA for Regulation SHO violations...

The Financial Industry Regulatory Authority (FINRA) recently said in a release that

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September 2, 2011

The Difficult Balance Between a Financial Advisors’ Fiduciary Duty and...

Andrew Haigney recently wrote an interesting article for where

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Collective Action Claims, Featured by Top Securities Fraud Attorneys, The White Law Group July 22, 2011

Collective Action Claims for Financial Advisors

FINRA Proposes Rule Change for Class Action Employment Claims According to

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January 7, 2011

Local California Counsel for FINRA Arbitrations

Local California Counsel for FINRA Arbitrations The White Law Group often serves as

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December 27, 2010

Investment Fraud Scams Involving Gold and Gold Futures.

The White Law Group is investigating possible investment fraud scams involving

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