Search for: "Finra"
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11 Dec 2020, 11:16 am
According to FINRA, Infinity did not contact its applicants’ former employers. [read post]
18 Sep 2019, 11:42 am
For FINRA’s full findings, see FINRA Case #2016049977201 Free Consultation with a Securities Attorney This information is publicly available on FINRA’s website and provided to you by The White Law Group. [read post]
16 Sep 2019, 12:22 pm
We represent investors in FINRA arbitration claims in all 50 states, including Illinois. [read post]
21 Jan 2022, 11:43 am
FINRA Fines Credit Suisse Securities $9 million for not controlling clients’ securities and conflicts of interests. [read post]
5 Sep 2013, 5:58 am
Selling away is prohibited under FINRA Rule 3040, as well as other securities laws. [read post]
14 Jul 2021, 9:23 am
FINRA Sanctions Sanctuary Securities Inc. for Reps Unsuitable ETF Sales The White Law Group is investigating potential securities claims involving Sanctuary Securities Inc. [read post]
20 Jun 2017, 7:31 am
For FINRA’s full findings see FINRA Case #2014039874901. [read post]
6 Feb 2017, 7:17 am
For FINRA’s full findings see FINRA Case #2012030564701. [read post]
10 Oct 2019, 9:30 am
The arbitrators reportedly denied Blumberg’s request to expunge the customer complaint from his FINRA BrokerCheck record. [read post]
25 Oct 2018, 9:01 am
They must ensure they are complying with FINRA rules. [read post]
28 Jan 2020, 7:00 am
We represent investors in FINRA arbitration claims in all 50 states, including California. [read post]
4 Dec 2019, 11:03 am
We represent investors in FINRA arbitration claims in all 50 states, including South Carolina. [read post]
20 Feb 2020, 10:06 am
We represent investors in FINRA arbitration claims in all 50 states including Texas. [read post]
22 Dec 2020, 9:26 am
Finra also alleged Transamerica failed to detect when its reps recommended inappropriate high-fee variable annuity share classes. [read post]
16 May 2008, 9:36 am
FINRA CEO Mary L. [read post]
15 Aug 2014, 10:25 am
According to FINRA’s BrokerCheck, Gary J. [read post]
22 Sep 2013, 3:30 pm
Sorensen first became registered with FINRA on September 9, 2005. [read post]
6 Dec 2013, 12:27 pm
FINRA found that between 2008 and 2009 J.P. [read post]
29 Oct 2020, 12:58 pm
FINRA allegedly found that between May 2015 and November 2018, National Securities reportedly filed four late Form U4 amendments, filed eight late Form U5 amendments, and failed to file five Form U4 amendments. [read post]
16 Mar 2016, 2:03 pm
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
