Author: D. Daxton White
How Does FINRA Ensure That An Award or Settlement Is Paid?
If you are an investor considering bringing a securities fraud claim against your broker dealer, you may be wondering how FINRA ensures...
Investor Fraud schemes on the rise…
It seems like everyday there is a new article about another ponzi scheme or some other investor fraud scheme that has now come to light....
Statute of Limitations by State
Each cause of action has a set time period before which the claim must be brought. This is commonly called a statute of limitation. It is...
Auction Rate Securities Regulatory Settlements
Special Arbitration Procedures for Investors Involved in Auction Rate Securities Regulatory Settlements The White Law Group is...
Rule Conversion Chart for NASD to FINRA Rules
Recently, the NASD and NYSE merged their regulatory bodies to form the Financial Industry Regulatory Authority (or FINRA). In so doing, the...
What a reverse convertible investment right for me?
Reverse convertibles are short-term bonds that pay high yields and are coupled to well known stocks. The bonds generally have terms of...
