Securities Fraud Articles
FINRA Discovery Guide Documents
What is FINRA Arbitration? In some cases, investors find themselves in a situation where they’ve unknowingly trusted the wrong broker...
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...
Somerset Securities Inc.: FINRA Claim
The White Law Group Files a FINRA Claim against Somerset Securities Inc. The White Law Group announces the filing of a FINRA arbitration...
SW Financial Ordered to Pay $3.2 M for Churning Claim
SW Financial Sued for Excessive, Unsuitable and Unauthorized Trading According to a FINRA award on August 30, a three-person panel...
Know your Rights: Investment Cold Calling
What is Investment Cold Calling? Investment cold calling is a marketing and sales practice where financial professionals, such as brokers,...
