Search for: "National Association Of Securities Dealers, Inc."
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8 Dec 2021, 8:56 am
Broker dealers are required to inform clients of the risks associated with investment recommendations. [read post]
8 Dec 2021, 7:27 am
Registered CPOs and CTAs must prepare and file Annual Questionnaires and Annual Registration Updates with the National Futures Association (“NFA”), as well as submit payment for annual maintenance fees and NFA membership dues. [read post]
5 Dec 2021, 9:50 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
4 Dec 2021, 7:39 am
Patrick Austermuehle of our firm filed an Amicus Brief on behalf of the Illinois Trial Lawyers Association and the National Association of Consumer Advocates on a important access to justice issue for consumers who have been defrauded including consumers who have been scammed by used car dealers. [read post]
3 Dec 2021, 1:40 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
30 Nov 2021, 8:38 am
Following a disciplinary action, FINRA suspended Jensen for six months and fined him $10,000, with the fine to be paid prior to re-association with a FINRA broker dealer. [read post]
24 Nov 2021, 6:15 am
The White Law Group continues to investigate potential securities claims involving broker dealers who may have improperly recommended NorthStar Healthcare Income REIT to investors. [read post]
22 Nov 2021, 2:02 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
16 Nov 2021, 6:08 am
Its shares are not listed and do not trade on a registered national securities exchange. [read post]
15 Nov 2021, 10:39 am
About McGuireWoods’ Broker-Dealer and Investment Adviser Team Our Broker-Dealer and Investment Adviser team includes members of our nationally-recognized Financial Services Litigation Department, our elite Government Investigations and White Collar Litigation Department, former senior SEC and FINRA enforcement attorneys and litigators, as well as high-level federal prosecutors. [read post]
15 Nov 2021, 10:39 am
About McGuireWoods’ Broker-Dealer and Investment Adviser Team Our Broker-Dealer and Investment Adviser team includes members of our nationally-recognized Financial Services Litigation Department, our elite Government Investigations and White Collar Litigation Department, former senior SEC and FINRA enforcement attorneys and litigators, as well as high-level federal prosecutors. [read post]
15 Nov 2021, 8:16 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
10 Nov 2021, 8:32 am
– Merger Update The White Law Group continues to investigate potential securities claims involving broker dealers who may have improperly recommended SmartStop Self Storage REIT Inc. to investors. [read post]
8 Nov 2021, 9:40 am
The AML Act took effect when Section 6110 of the massive National Defense Authorization Act became law in January. [read post]
8 Nov 2021, 9:40 am
” The Authentic Tribal Art Dealers Association(ATADA) derided “the false claims of involvement of the U.S. antiquities trade in general in money laundering or activities supporting terrorism. [read post]
8 Nov 2021, 9:40 am
” The Authentic Tribal Art Dealers Association(ATADA) derided “the false claims of involvement of the U.S. antiquities trade in general in money laundering or activities supporting terrorism. [read post]
1 Nov 2021, 1:04 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
21 Oct 2021, 6:35 am
A few years ago, the Commission shortened the settlement cycle for most securities from T+3 to T+2. [read post]
7 Oct 2021, 6:37 am
(“Coinbase”) filed an application with the National Futures Association (“NFA”) to register as a Future Commission Merchant. [read post]
7 Oct 2021, 2:51 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois. [read post]
