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UBS Financial Services Regulatory History Overview
The White Law Group reviews the regulatory history of UBS Financial Services. UBS Financial Services...
Cantor Fitzgerald Regulatory Overview
The White Law Group reviews the regulatory history of Cantor Fitzgerald. Cantor Fitzgerald LP, the parent company of Cantor Fitzgerald...
Buying on Margin – Worth the Risk?
Understanding Margin Trading Risks and Requirements The Financial Industry Regulatory Authority (FINRA) recently issued an investor alert...
United Development Funding IV Lawsuits
Egan-Jones Recommends NexPoint’s Director Nominees for UDF IV’s Board at December 10 Meeting NexPoint Real Estate Opportunities, LLC...
Morgan Stanley Fined Over Brokers’ $10M Fraud
Morgan Stanley Brokers Allegedly Misappropriated more than $10 Million Morgan Stanley Smith Barney will reportedly pay a $15 million fine...
LifeSci Capital, LLC Reportedly Sanctioned by Regulators
FINRA Reportedly Fines LifeSci Capital $900,000. LifeSci Capital, LLC has reportedly agreed to pay a $900,000 fine as part of a settlement...
