Securities Fraud Articles
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...
Broker Embezzlement
Be Aware of Broker Embezzlement Broker embezzlement is a significant problem that presents itself within the financial industry. These...
Rights for Investors
What are your Rights as an Investor? Investors are entitled to certain rights that safeguard their interests and also promote fairness in...
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...
