Author: D. Daxton White
Securities Fraud Blog, The White Law Group and D. Daxton White
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance...
Brokerage Firm Best Execution Requirements
What is the FINRA Rule 5310 Best Execution Rule? FINRA Rule 5310 is a regulation created by the Financial Industry Regulatory Authority...
Berthel, Fisher and Co.: Complaints and Regulatory Actions
The White Law Group reviews the regulatory history of Berthel, Fisher and Company Financial Services. The following is a review of...
FINRA RULE 3110 (SUPERVISION)
What is Failure to Supervise – FINRA Rule 3110? Failure to Supervise, as outlined in FINRA Rule 3110, is a regulatory violation...
West Lafayette, Indiana Securities Fraud / Broker Fraud Attorney
Securities Fraud Attorneys in West Lafayette, Indiana Have you suffered losses investing with your financial advisor or broker? If so,...
Springfield, Illinois | Securities Fraud Lawyer | Broker Fraud Attorney
Concerned about your investments in Springfield, Illinois? Have you suffered investment losses with your Springfield, Illinois broker or...
