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27 Jan 2023, 12:59 pm
On January 23, 2023, Paulson Investment Company, LLC (Paulson) agreed to a censure, a fine of $150,000 and to make restitution to 60 customers in a regulatory settlement with FINRA, the Financial Industry Regulatory Authority. [read post]
16 Oct 2017, 11:17 am
(City National) and was under investigation by the Securities and Exchange Commission (SEC) and FINRA. [read post]
2 Jan 2018, 6:57 am
In March 2017 FINRA initiated its investigation into Trenchard for fraud. [read post]
21 May 2012, 2:42 pm
If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. [read post]
22 Jun 2012, 12:36 pm
If so, the securities attorneys of The White Law Group may be able to help you recover your losses through FINRA arbitration. [read post]
24 Jan 2024, 1:47 pm
More Supervisory Issues – SEC & FINRA Sanctions September 2018 – FINRA censured and fined Cadaret Grant & Co. $800,000 for multiple supervisory issues. [read post]
7 Mar 2013, 8:38 am
This information which is publicly available on FINRA’s website has been provided by The White Law Group, LLC. [read post]
7 Jan 2010, 6:58 pm
A FINRA panel has recommended expungement. [read post]
12 Jun 2015, 3:30 pm
If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the brokerage firm that recommended the investment. [read post]
27 Aug 2014, 2:04 pm
FINRA is not a government agency. [read post]
7 Dec 2011, 2:01 pm
Our firm is investigating the potential for recovery of investment losses though FINRA arbitration in claims against the financial professionals that sold the investments. [read post]
9 Mar 2015, 8:28 am
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
20 Dec 2015, 1:56 pm
FINRA Fined Fidelity More than $1 Million for Failing to Protect Older InvestorsSecurities industry watchdog, the Financial Industry Regulatory Authority (FINRA) has announced that it has fined Fidelity $500,000 and demanded the brokerage pay restitution of $530,000 to nine Fidelity clients - eight of whom were senior investors - who were scammed by a fake broker.According to FINRA, Lisa Lewis posed as a Fidelity broker in order to obtain their financial information, which… [read post]
7 Mar 2018, 10:31 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
20 Feb 2013, 9:25 am
The White Law Group continues to look into potential FINRA arbitration claims involving Mewbourne Oil and Mewbourne Energy Partners. [read post]
4 Feb 2016, 2:43 pm
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
4 Feb 2016, 3:04 pm
The firm represents investors in FINRA arbitration claims throughout the U.S. [read post]
14 May 2014, 4:19 pm
If so, The White Law Group may be able to help you recover investment losses through a FINRA arbitration claim. [read post]
12 Apr 2021, 11:33 am
This was coming after the regulatory action instituted against him by FINRA in July 2019. [read post]
12 Apr 2021, 11:33 am
This was coming after the regulatory action instituted against him by FINRA in July 2019. [read post]
