Author: The White Law Group
Royal Alliance Associates: Regulatory Overview
The White Law Group reviews the regulatory history of Royal Alliance Associates. Royal Alliance Associates, an advisory firm based in...
Derivatives – Complex Investments
Understanding Derivatives Derivatives are financial instruments that derive their value from an underlying asset, such as stocks, bonds, or...
Broker Paul McGonigle, LPL Financial, Update
Financial Advisor Paul McGonigle Sentenced to Prison for Defrauding Advisory Clients According to the US Attorney’s office in...
Conflicts of Interest
Understanding Conflicts of Interest Conflicts of interest can occur in the securities industry when a broker or financial advisor...
The SEC Cracks down on Private Messaging
Broker Dealers and Private Text Apps – SEC Issues $539 Million in Fines On August 8, 2023, The Securities and Exchange Commission...
Lickhai Quach Barred by FINRA
Lickhai Quach Allegedly Obtained Loan from Client On August 7, 2023, FINRA, the regulator who oversees brokers and brokerage firms,...