Author: D. Daxton White
Citigroup fined by FINRA for failure to supervise a sales assistant
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $500,000 for...
SEC Suspends Divine Capital Markets, LLC From Participating in Penny Stock Offerings
On August 1, 2011, the Securities and Exchange Commission settled an administrative proceeding and imposed cease-and-desist orders,...
Recovery of NNN Opportunity Fund Investment Losses
Have you suffered investment losses in the NNN Opportunity Fund? If so, The White Law Group may be able to help. The White Law Group is...
FINRA Fines Santander Securities $2 Million for Deficiencies
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Santander Securities of Puerto Rico $2 million for...
FINRA fines UBS over Lehman Brothers Principal Protected Notes
The Financial Industry Regulatory Authority (FINRA) announced that it has fined UBS Financial Services, Inc., $2.5 million, and required...
NFP Securities, Inc. fined by FINRA over annuity business
NFP Securities, Inc. (CRD #42046, Austin, Texas) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was...