Tag: South Florida
BGC Financial, L.P. (a FINRA broker-dealer based in New York City ) fined and censured by FINRA
FINRA (formerly the NASD) recently announced that BGC Financial, L.P. (a FINRA broker-dealer based in New York City ) was censured and...
FINRA Rules regarding Discretionary Accounts
As provided for in FINRA Notice to Member (NTM) 09-63, the following rules currently apply to discretionary brokerage accounts: FINRA Rule...
Boynton Beach Securities Fraud Attorney
The White Law Group is a securities fraud, securities arbitration, and investor protection, law firm with offices in Chicago, Illinois and...
Possible securities fraud involving CIT Group Bonds sold by Edward Jones
We are investigating a possible securities fraud claim on behalf of an investor with Edward Jones’ Wilmette, Illinois office (Wilmette is...
Maria Duarte Pumariega barred from FINRA
FINRA recently announced that Maria Duarte Pumariega, a financial advisor formerly registered with Wachovia Securities in Miami, Florida,...
