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FINRA SEC Sanctions

FINRA SEC Sanctions

National Securities Corp and B. Riley Wealth: Investor Dispute

The White Law Group Files a Claim against National Securities Corp and B. Riley Wealth Management  The White Law Group announces the...

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FINRA SEC Sanctions, Securities Fraud Articles

Arive Capital Markets Sanctioned for Supervisory Failures  

Arive Capital Markets Sanctioned for Supervisory Failures Arive Capital Markets, a registered brokerage firm, reportedly settled with...

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FINRA SEC Sanctions

Hudson Valley Wealth Fined for Conflicts of Interest

SEC Charges Hudson Valley Wealth Management and Founder for Breach of Fiduciary Duty On May 14, 2024, The Securities and Exchange...

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FINRA SEC Sanctions

SoFi Financial Pays $1.1 Million Fine

FINRA Charges SoFi Financial after Unauthorized Funds Transfers SoFi Financial, headquartered in San Francisco and catering to...

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FINRA SEC Sanctions

Newbridge Securities Corp.: Investor Dispute

Newbridge Securities Corp. Lawsuit Alleges Unsuitable Investments and Failure to Supervise The White Law Group announces today the filing...

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Blog, FINRA SEC Sanctions

Osaic Wealth: Regulatory History Overview

The White Law Group reviews the regulatory history of Osaic Wealth.  Osaic Wealth (CRD#: 23131/SEC#: 801-54859,8-40218), based in Jersey...

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