Author: D. Daxton White
Lance Scida, Dennis Dale Bailey suspended from FINRA
FINRA recently announced that Lance Nathaniel Scida (a registered representative in Wichita, Kansas) and Dennis Dale Bailey (a registered...
FINRA Arbitration of Employment Discrimination Claims
Can an employee waive his/her right to access to a court for statutory discrimination claims and be required to arbitrate such a claim? The...
Investigation of Chicago Investment Group, LLC
The White Law Group is currently investigating whether Chicago Investment Group financial advisors, including but not limited to, Howard...
FINRA Rules Securities Fraud/Customer Dispute Claims
FINRA Rules Regarding Securities Fraud Claims 2010. Standards of Commercial Honor and Principles of Trade A member, in the conduct of its...
FINRA Proposes Expansion of Public Broker Information
The Financial Industry Regulatory Authority (FINRA) recently announced that it is seeking authority to significantly expand the amount of...
Dennis Ray Thompson Sr. – FINRA Investigation
FINRA recently announced that Dennis Ray Thompson Sr. has been barred from association with any FINRA member in any capacity. Additionally,...