Blog Archives - Page 917 of 1431 - The White Law Group

November 21, 2016

The Securities and Exchange Commission’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors...

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November 21, 2016

Is your Financial Advisor Churning your Account? What is churning? According to the SEC, churning occurs when a broker engages in excessive...

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November 20, 2016

New Mountain Finance Corporation (NYSE: NMFC) is a closed-end, non-diversified management investment company that has elected to be treated...

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November 18, 2016

FINRA sanctioned Oppenheimer & Co., Inc. $3.4 million for poor reporting practices, including internal discipline, providing...

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November 18, 2016

Stanley Jonathan Fortenberry of San Angelo, Texas, pleaded guilty on November 18, 2016 to an indictment charging him with obstruction of...

November 18, 2016

FINRA has permanently barred Emily M. Thompson (CRD# 4217116, Wauseon, OH) from acting as a broker or otherwise associating with firms that...

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