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10 Jun 2020, 9:48 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to the representation of investors in FINRA arbitration claims against brokerage firms throughout the United States. [read post]
10 Jun 2020, 8:16 am
We represent investors in FINRA arbitration claims in all 50 states, including California. [read post]
9 Jun 2020, 1:32 pm
Claims may be brought in securities arbitration before FINRA. [read post]
9 Jun 2020, 1:26 pm
The SCSD Initiative and subsequent guidance put out through FAQs has effectively amended 12b-1 by requiring disclosure of: Continue reading › The post THE SEC’s WAR ON 12b-1 FEES appeared first on FINRA Lawyer Blog. [read post]
9 Jun 2020, 9:57 am
Broker dealers that fail to adequately disclose risks or make unsuitable investment recommendations can be held liable for investment losses through FINRA Arbitration. [read post]
8 Jun 2020, 12:31 pm
Call now before FINRA changes the rules again. [read post]
8 Jun 2020, 11:52 am
Over the past decade, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have issued a Regulatory Notice and several investor alerts warning investors of these risks and instructing brokerage firms and investment advisors to be transparent and diligent in the marketing and sale of these risky and complex investments. [read post]
8 Jun 2020, 11:10 am
The Financial Industry Regulatory Authority (“FINRA”) has conducted investigations and taken regulatory action in the past to address misconduct in the marketing and sale of these investments. [read post]
8 Jun 2020, 10:12 am
If so, The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
8 Jun 2020, 6:18 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
8 Jun 2020, 6:18 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
8 Jun 2020, 5:46 am
(FINRA) Brokercheck Report for Concorde Investment Services, LLC broker W. [read post]
8 Jun 2020, 5:46 am
(FINRA) Brokercheck Report for Concorde Investment Services, LLC broker W. [read post]
8 Jun 2020, 12:20 am
Should the unanswered questions prompt FINRA the regulator to intrude into FINRA the arbitration forum? [read post]
8 Jun 2020, 12:20 am
Priscilla Ann Ellis and Perry Cortese, Defendants/Appellants (Opinion, 11Cir)Robinhood traders cash in on the market comeback that billionaire investors missed (CNBC by Maggie Fitzgerald)FINRA Arbitrator Troubled by Rep's Advance Collection of Asset Management Fees (BrokeAndBroker.com Blog)CFTC Announces $6 Million Whistleblower Award / Latest Award Marks Milestone of $110 Million Awards Granted (CFTC Release)SEC Charges California Trader Engaged in Manipulative Trading Scheme… [read post]
8 Jun 2020, 12:20 am
FINRA Arbitrator Troubled by Rep's Advance Collection of Asset Management Fees (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5267/finra-arbitration-fees/Where there's smoke, there's fire. [read post]
7 Jun 2020, 6:43 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
6 Jun 2020, 1:29 pm
Investors in Terra Income Fund 6 (“Terra 6”) may be able to recover losses on their investment through initiating an arbitration proceeding with FINRA Dispute Resolution, if a broker or financial advisor made the recommendation to invest in Terra 6 without a reasonable basis, or misled the investor as to the nature of the investment. [read post]
5 Jun 2020, 8:56 pm
And SIFMA recommended that only FINRA, which by its own data, said its surveillance canvassed 99.5 percent of U.S. stock market trading volume and about 65 percent of U.S. options trading activity, should be provided the broad ability to access cross-market CAT Data in the SAW. [read post]
5 Jun 2020, 5:16 pm
(“PECO”) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
