Author: The White Law Group

Current Investigations

DAI Securities: Regulatory History Overview

DAI Securities Review: Regulatory Sanctions and Broker Misconduct DAI Securities, LLC (CRD#: 36673) is a brokerage firm headquartered in...

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FINRA SEC Sanctions

D.H. Hill Securities: Broker Misconduct, Regulatory Review

D.H. Hill Securities: Complaints, Broker Misconduct & Investor Lawsuits D.H. Hill Securities, LLLP (CRD#: 41528), headquartered in...

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Current Investigations

Thrivent Investment Management: Complaints, Regulatory Review

Thrivent Investment Management: Lawsuits, Complaints, and Regulatory Actions The White Law Group reviews the regulatory history including...

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Broker Investigations

Lisa Boisselle: Investor Lawsuit Investigation

Former LPL Advisor Lisa Boisselle Hit with Arizona Cease-and-Desist Order Over Crypto Fund Sales The Arizona Securities Division has issued...

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Securities Fraud Articles

NASAA’s New Non-Traded REIT Rules

NASAA’s New Non-Traded REIT Rules: What Investors Need to Know The North American Securities Administrators Association (NASAA) recently...

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FINRA SEC Sanctions

Sanctuary Securities: Regulatory History Review

Sanctuary Securities Review – Supervisory and Compliance Failures Sanctuary Securities, Inc. (CRD #205 / SEC #8-2062), based in Chicago,...

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