Author: D. Daxton White
Recovery of Inverse ETF and ETN Investment Losses *Updated*
Have you suffered investment losses in a nontraditional (or inverse) ETF or ETN? The White Law Group is currently investigating the...
Cantone Research Inc. fined by FINRA
Cantone Research Inc. (CRD #26314, Tinton Falls, New Jersey) recently submitted an Offer of Settlement in which the firm was censured,...
FINRA Fines Citigroup Global Markets for Disclosure Failures
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $725,000 for...
Woodbury Financial Services, Inc. fined by FINRA
Woodbury Financial Services, Inc. (CRD #421, Oakdale, Minnesota) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
RBC Capital Markets, LLC fined by FINRA over CMOs.
RBC Capital Markets, LLC (CRD #31194, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...
Radnor Research & Trading Company LLC fined by FINRA
Radnor Research & Trading Company LLC (CRD #130120, Radnor, Pennsylvania) recently submitted a Letter of Acceptance, Waiver and Consent...