Author: The White Law Group
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,...
Purshe Kaplan Brokers William Weisbrod and Lilia Nia Sanctioned
FINRA Sanctions Brokers William Weisbrod and Lilia Nia after Allegations of Illegal Trading Activity FINRA, the regulator who oversees...