Search for: "National Security Exchange LLC"
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18 Feb 2020, 2:08 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
6 Jun 2022, 10:55 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
25 Oct 2022, 12:53 pm
To learn more about the firm’s recent claims against Cetera, please see: FINRA Lawsuit filed against Cetera Advisors involving Unsuitable Investments The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
16 Jan 2024, 9:08 am
Securities and Exchange Commission (SEC). [read post]
8 May 2015, 2:29 pm
Further, Lax & Neville LLP has nationally represented small broker-dealers, financial services professionals and securities industry companies in regulatory matters and securities-related and commercial litigation. [read post]
20 Feb 2010, 5:14 pm
The National Futures Association has accepted Frontline Advisors LLC and Frontline Financial, Inc.'s proposal to permanently remove themselves as a member of the group. [read post]
16 Jun 2023, 2:24 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
20 Dec 2021, 11:56 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
17 May 2023, 11:30 am
FINRA and the Securities and Exchange Commission may impose regulatory actions against a broker-dealer such as censures, fines, suspensions and restitution, among others. [read post]
26 Sep 2018, 2:39 pm
As its name implies, an ATS is an alternative trading venue to a national securities exchange, such as the NASDAQ or New York Stock Exchange, where transactions typically occur through electronic, automated means. [read post]
26 Sep 2018, 2:39 pm
As its name implies, an ATS is an alternative trading venue to a national securities exchange, such as the NASDAQ or New York Stock Exchange, where transactions typically occur through electronic, automated means. [read post]
9 Aug 2013, 8:34 am
(BOAMS), and Merrill Lynch, Pierce, Fenner & Smith, Inc. f/k/a Banc of America Securities LLC (BAS). [read post]
5 Jun 2012, 1:22 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
23 Nov 2015, 3:15 pm
Provisions of the Maloney Act required that broker-dealers register with either a national securities exchange or a “registered securities association. [read post]
25 May 2022, 6:22 am
Under this model, the national securities exchanges and the SROs acted jointly under NMS plans to collect, consolidate, and disseminate core market data. [read post]
28 May 2020, 12:57 pm
GPB is under investigation by the Securities and Exchange Commission (SEC), and other state and federal regulators. [read post]
4 Jun 2020, 8:18 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
26 May 2022, 5:09 am
” Petitioners NASDAQ Stock Market LLC challenged the new rule by alleging it was “arbitrary and capricious and contrary to the goals and policies of the Securities Exchange Act. [read post]
28 Jul 2022, 9:51 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
12 Jul 2012, 8:03 am
Sonn & Erez, PLC a nationally known securities law firm, is investigating the TNP 12 Percent Notes Program. [read post]
