Author: The White Law Group
Firms hit with $14.4 Million in FINRA Fines
FINRA fined a dozen financial firms $14.4 million for “significant deficiencies” in protecting broker-dealer and client data...
Douglas P. Simanski Investment Losses
Douglas P. Simanski – Securities Fraud Investigation Are you concerned about investment losses with former broker, Douglas P....
Morgan Stanley Charged $7.5 Million for Using Customer Cash
Investigation of Morgan Stanley Leads to Charges The Securities and Exchange Commission announced today that Morgan Stanley has agreed to...