Author: The White Law Group
FINRA Claim Filed Against Credit Suisse and UBS
The White Law Group announces the filing of a FINRA arbitration claim against Credit Suisse and UBS involving high-risk, royalty trust...
Dempsey Lord Smith Sanctioned for GPB Capital Offerings
Dempsey Lord Smith Censured & Fined for Unsuitable Sales of GPB Capital Offerings FINRA Reportedly Sanctions Dempsey Lord Smith for...
BD4RIA Inc. Sanctioned for Misconduct regarding GPB Offering
FINRA Reportedly Censures and Fines BD4RIA Inc. for withholding Material information involving GPB Holdings II LP According to The...
Geneos Wealth Sanctioned for LJM Funds & GPB Funds
FINRA Censures and Fines Geneos Wealth Management for Rules Violations involving LJM Funds & GPB Funds According to The Financial...
FINRA Lawsuit filed against Stifel, Nicolaus & Company, Inc.
The White Law Group announces the filing of a FINRA Lawsuit against Stifel, Nicolaus & Company, Inc. The White Law Group announces...
Mass. Securities Regulator Investigates Firms on Interest Rates
Mass. Regulator inquires if Merrill Lynch, LPL Financial, and others are raising rates. According to numerous reports, Massachusetts...
