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28 Oct 2013, 4:15 am
In enforcement proceedings, it is no secret that FINRA focuses on supervision. [read post]
3 May 2013, 12:51 pm
The White Law Group may be able to help you recovery your losses through a FINRA arbitration claim against the brokerage firm that sold you the investment. [read post]
5 Jan 2018, 7:29 am
Costa Financial Securities, Inc was expelled from FINRA in March of 2008. [read post]
12 May 2015, 8:32 am
The exchanges and FINRA will submit their initial assessments on the tick size pilot’s impact 18 months after the pilot begins. [read post]
3 Nov 2015, 3:04 pm
Firms that fail to perform adequate due diligence, or that make unsuitable recommendations, can be held responsible for losses in a FINRA arbitration claim. [read post]
23 Jan 2014, 1:56 pm
If so, The White Law Group may be able to help you recover your investment losses in a FINRA arbitration claim against the broker dealer that sold you the investment. [read post]
16 Jun 2011, 6:47 pm
The products and Lerner have been in the hot seat for more than a month, after the Financial Industry Regulatory Authority (FINRA) filed a complaint stating that shares in Apple REITS had not been re-priced in years. [read post]
18 Oct 2011, 9:24 am
FINRA has offices in South Florida, Boca Raton, where they undertake and conduct arbitrations. [read post]
24 Dec 2014, 9:14 am
FINRA warns of the following: Consider the source. [read post]
26 Aug 2013, 8:05 am
If so, The White Law Group may be able to help you recover your losses by filing an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
10 Dec 2020, 10:38 am
This is the largest monetary sanction in New Hampshire history and proportedly the second largest FINRA settlement in at least a decade. [read post]
11 Feb 2008, 7:40 am
Although mortgage brokers, investment banks, and ratings agencies are frequently held responsible for the demise, little is said about the roles of the Financial Industry Regulatory Industry (FINRA) and the SECâ€â [read post]
11 Jul 2018, 10:44 am
The Federal Senior Safe Act and FINRA's new Rule, 2165, both designed to protect the elderly, and how they create a potential "legal minefield" for financial advisors. [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
6 Sep 2017, 11:45 am
If so, the securities attorneys of The White Law Group may be able to help you recover your losses through FINRA arbitration. [read post]
11 Jun 2018, 7:54 am
According to FINRA BrokerCheck, a number of investors have already filed claims against Mr. [read post]
23 Jul 2018, 11:42 am
According to FINRA BrokerCheck, a number of investors have already filed claims against Mr. [read post]
7 Dec 2009, 10:54 am
Flanagan had requested compensatory damages in the amount of $300,000.00, plus interest, costs, expenses, attorney’s fees, expert witness fees, FINRA fees, and punitive damages. [read post]
28 Apr 2022, 8:11 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
