Author: D. Daxton White
LPL Financial in trouble again over REIT sales
According to an InvestmentNews report, New Hampshire securities regulators want LPL Financial to shell out $3.6 million in fines and...
FINRA Fines Oppenheimer $2.5 million
The Financial Industry Regulatory Authority (FINRA) recently imposed a hefty fine on the broker dealer, Oppenheimer & Co. Inc, for...
Macquarie Capital fined over Puda Coal due diligence.
Have you suffered losses investing in Puda Coal? If so, the securities attorneys of The White Law Group may be able to help you recover...
Three Brokerage Firms fined over supervisory failures.
According to reports, the Financial Industry Regulatory Authority Inc. (Finra) recently issued six-figure fines to three brokerages for...
Merrill Lynch fined by State of Massachusetts
Merrill Lynch recently agreed to pay a $2.5 million fine in Massachusetts to settle charges that it failed to follow its own compliance...
