Author: The White Law Group
FINRA Rule 3240 Borrowing From or Lending to Customers
Is it OK for Brokers to Borrow from Customers? FINRA Proposes Tightening Rule On Borrowing According to filings with the SEC on January 3,...
Brokers and AI
What is AI? AI is a new and rapidly developing technology that stands for artificial intelligence. It is a branch of computer science that...
FSC Securities Corp. Regulatory History Overview
The White Law Group reviews the regulatory history of FSC Securities Corp. ...
Billy Stanage Jr., Commonwealth Advisor, Barred by Regulators
Billy Stanage Allegedly Obtained Loan from Client On July 20, 2023, FINRA, the regulator who oversees brokers and brokerage firms, barred...
Online Trading Scams & Social Media Fraudsters
How to Avoid Online Trading Scams & Social Media Fraudsters Online scams are becoming more common these days, as the internet...
Clarice Saw Charged with Defrauding Elderly Client
New York Advisor Clarice Saw Charged with Defrauding Elderly Client of $2.4 Million According to reports this week, the SEC charged...