securities compliance
Tag Archive

November 17, 2011

FINRA Wants “Senior Designations” to Have Real Meaning

According to a recent investmentnews.com 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 businessinsider.com 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

The White Law Group often serves as local counsel throughout California for

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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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October 12, 2010

Recovery of Schwab YieldPlus Investment Losses

The White Law Group is investigating securities fraud claims involving the

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September 17, 2010

Securities Regulation and Compliance Attorney

Are you a financial advisor or registered representative who needs legal

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August 26, 2010

Wyoming Securities Laws

Each state has its own securities laws. The following are selected sections of the

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August 26, 2010

Wisconsin Securities Laws

Each state has its own securities laws. The following are selected sections of the

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