Securities Fraud Articles
Discretionary Accounts: Does Your Broker Have Too Much Authority?
Typically, when investors hand control of their portfolios to a qualified professional, they hope for positive outcomes. However, how much...
Investor Alert: Unit Investment Trusts (UITs)
Investors often find UITs appealing. They’re simple. A UIT is also transparent while offering portfolio diversification. Unlike ETFs or...
Understanding Regulation Best Interest (Reg BI)
Understanding Regulation Best Interest (Reg BI): What It Means for You as a Retail Investor If you’re a retail investor working with...
Are there Depositions in FINRA Arbitration?
Understanding FINRA Rule 12510 on Depositions If you’re involved in a FINRA arbitration case, you may be wondering whether...
Crown Capital Securities: Broker Misconduct, Complaints
Crown Capital Securities LP – Broker Misconduct and Regulatory Review The White Law Group reviews the regulatory history of Crown Capital...
Solicited Trades Vs. Unsolicited Trades
Understanding whether your investment was made through an unsolicited or solicited trade can be crucial in determining your rights as an...
