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Tag: Advice rule

FINRA BrokerCheck to Flag "Restricted Firms" featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud Articles

February 8, 2023

FINRA BrokerCheck to Flag “Restricted Firms”

The SEC Approves new Designation on FINRA’s BrokerCheck of  “Restricted Firm” According to reports this week, the...

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FINRA ups its Game with Reg BI Enforcement, featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud Articles

February 8, 2023

FINRA ups its Game with Reg BI Enforcement 

FINRA Sanctions Laidlaw Brokers for violation REG BI in Excessive Trading Case   According to an article this week in Financial Planning,...

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Regulation Best Interest, Featured by Top Securities Fraud Attorneys, The White Law Group

Blog, Securities Fraud Articles

June 6, 2019

SEC Approves “Regulation Best Interest”

SEC Approves Advice Regulation Best Interest Rule, but is it enough to Protect Investors? According to reports, the Securities and Exchange...

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