Author: The White Law Group
Merrill Lynch Reverses Policy on Commission Based Accounts
Death of DOL’s Fiduciary Rule in March Leads to Merrill Lynch Policy Change According to reports this week, Merrill Lynch said on...
FINRA v. JAMS – What’s the Difference?
Two Arbitration Processes – JAMS & FINRA There are two possible arbitration processes used to litigate disputes, FINRA or JAMS, ...
NorthStar/RXR New York Metro Real Estate Inc.
NorthStar/RXR New York Metro Real Estate – Liquidation Plans Are you concerned about your investment in NorthStar/RXR New York Metro...
New Jersey Broker Gary Basralian Pleads Guilty to Fraud
Update on Broker Gary Basralian – Securities Fraud Investigation According to reports yesterday, broker Gary Basralian, of...
Can FINRA Protect Investors from Financial Advisor Misconduct ?
Financial Advisor Misconduct – new study says 1 in 10 advisors has severe misconduct records. According Financial IQ a recent study,...
Trustmont Financial to Pay $1Million in FINRA Award
Pennsylvania Brokerage Firm, Trustmont Financial Accused of Breaching Fiduciary Duty According to a FINRA award posted on FINRA’s site...
