Author: D. Daxton White
Brookstone Securities, Inc. fined by FINRA
Brookstone Securities, Inc. (CRD #13366, Lakeland, Florida) recently submitted an Offer of Settlement in which the firm was censured and...
Merrill Lynch fined by FINRA For Failure to Supervise
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million...
Wunderlich Securities, Inc. fined by FINRA
Wunderlich Securities, Inc. (CRD #2543, Memphis, Tennessee) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
Sonenshine & Company LLC fined by FINRA
Sonenshine & Company LLC (CRD #104357, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
Merrill Lynch Fined Over Promissory Note Clauses
It is being reported in the Investment News that Merrill Lynch Pierce Fenner & Smith Inc. has agreed to pay $1 million to settle...
Behringer Harvard Short-Term Opportunity Fund Losses
Have you suffered investment losses in the Behringer Harvard Short-Term Opportunity Fund? If so, The White Law Group may be able to help....
