FINRA SEC Sanctions
What is an AWC? Acceptance, Waiver, and Consent
Understanding FINRA’s Settlement Agreement: Acceptance, Waiver, and Consent (AWC) FINRA, which stands for the Financial Industry...
CFP Board Imposes Sanctions September 2023
CFP Board Discloses Sanctions on Certified Financial Planners The Certified Financial Planner Board of Standards, Inc. (CFP Board) is a...
Deutsche Bank Subsidiary DWS to Pay $25 Million
SEC charges DWS with Anti-Money Laundering Violations and ESG Misstatements According to a press announcement, the Securities and...
SEC Fines Nine RIA Firms $850K for Violating Marketing Rules
Nine RIA Firms Fined $850K in Regulatory Sweep In a recent crackdown by the Securities and Exchange Commission (SEC), nine Registered...
UBS Financial Services: FINRA Claim
FINRA Lawsuit filed against UBS involving Unsuitable Investments The White Law Group announces the filing of FINRA claim against UBS...
FINRA Rule 4111: Is your Brokerage Firm on the Naughty List?
What is FINRA Rule 4111? FINRA Rule 4111 (Restricted Firm Obligations) focuses on broker-dealer firms with a history of misconduct or...
