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16 Mar 2020, 11:33 am
The well-being of our FINRA employees, arbitrators, stakeholders and communities is of paramount importance.https://www.finra.org/rules-guidance/key-topics/covid-19 [read post]
16 Mar 2020, 8:49 am
SEC, a FINRA lifetime expulsion is "punitive" and hence not an appropriate FINRA sanction.The issue has been gradually clearing its path through the courts. [read post]
16 Mar 2020, 8:45 am
In 2019, FINRA also fined Northcoast Securities stockbroker, Dominic Anthony Trapiano for trying to sell non-traditional ETFs while knowing very well they were not good for investment. [read post]
16 Mar 2020, 8:39 am
Once the unwitting investors clicked through on the ads, they were taken to phony websites that looked convincing enough and even claimed that they were members of financial regulatory agencies and organizations such as FINRA and the FDIC. [read post]
16 Mar 2020, 7:31 am
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
13 Mar 2020, 2:23 pm
Customers of any FINRA-registered firm such as Wells Fargo are required to resolve disputes through FINRA’s arbitration process. [read post]
13 Mar 2020, 8:36 am
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
13 Mar 2020, 7:01 am
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
13 Mar 2020, 6:20 am
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
13 Mar 2020, 6:17 am
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
13 Mar 2020, 1:00 am
FINRA has Rule 4370 for broker-dealers, which requires them to draft and maintain a business continuity plan. [read post]
12 Mar 2020, 3:22 pm
Two years later, at the height of the bull market, FINRA reported there was $561 Billion in margin debit balances in retail customer accounts, a ~10% decline from the same statistic from two years before. [read post]
12 Mar 2020, 1:46 pm
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
12 Mar 2020, 1:14 pm
If so, the securities attorneys at The White Law Group may be able to help you recover your losses through FINRA Arbitration. [read post]
12 Mar 2020, 1:05 pm
If so, the securities attorneys at The White Law Group may be able to help you recover your losses through FINRA Arbitration. [read post]
12 Mar 2020, 12:56 pm
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
12 Mar 2020, 12:49 pm
If so, the securities attorneys at The White Law Group may be able to help you recover your losses through FINRA Arbitration. [read post]
12 Mar 2020, 12:43 pm
If so, the securities attorneys at The White Law Group may be able to help you recover your losses through FINRA Arbitration. [read post]
12 Mar 2020, 12:31 pm
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
12 Mar 2020, 11:36 am
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
