Blog
Gregory Buchholz Faces Sentencing for Theft
According to CBS New York, a former Connecticut securities broker, Gregory Buchholz faces sentencing for stealing more than $1.35 million...
QA3 Financial to cease operations.
According to the Investment News, QA3 Financial is to cease operations. Facing bankruptcy and a potential net capital violation, QA3...
FINRA Attorney for Financial Advisors
Financial Advisor Attorney – FINRA Employment Lawyer The White Law Group represents financial advisors in a variety of securities /...
FINRA focused on Private Placements and Non-Traded REITs
Broker-dealer sales of opaque and illiquid private investments are squarely in the sights of securities regulators at the Financial...
Merrill Lynch Settles Securities Fraud Charges
Merrill Lynch recently agreed to pay a $10 million fine to settle civil securities fraud charges by regulators who accused the firm of...
FINRA to educate NFL Players on Investment Fraud
The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the National Football League (NFL) recently announced...
