Author: D. Daxton White
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...
Does a Financial Advisor owe the Client a Fiduciary Duty?
Whether a financial advisor has a fiduciary duty to the investor has always been a hot buttom point of contention in many securities...
Why is my broker pushing penny stocks?
One increasingly common type of securities fraud is the so-called “Microcap stock fraud.” The microcap stock fraud is a form of...