Author: The White Law Group
Axos Invest LLC Fined by Securities Regulators
FINRA Sanctions Axos Invest LLC for Reg BI Failures According to the Financial Industry Regulatory Authority (FINRA), the self-...
American Wealth Management Inc. Censured and Fined
FINRA Sanctions American Wealth Management for Reg BI Failures According to the Financial Industry Regulatory Authority (FINRA), the...
Cottonwood Office Park TIC – Securities Investigation
Investigating Claims – TN Cottonwood LLC – Cottonwood Office Park TIC According to its Form D SEC filing, Cottonwood Office Park...
Beware of Dual Registrants Moving Securities to Drive up Fees
FINRA says Dual Registrants may be Exploiting Clients with Commissions plus Fees According to Advisor Hub this week, The Financial...
CFP Board Sanctions 2023
CFP Board Announces Imposed Sanctions on 22 Certified Financial Planners The CFP Board refers to the Certified Financial Planner Board of...
Uncapped Barrier Notes Linked to ARK Genomic Revolution ETF
Securities Investigation: Uncapped Accelerated Barrier Notes Linked to the Least Performing of the ARK Innovation ETF, the ARK Genomic...