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Tag: broker dealer

Blog, Securities Fraud Articles

FINRA Fines Edward Jones For Supervisory Failures

FINRA recently announced that it has fined Edward D. Jones & Co., L.P. of St. Louis $900,000 for its failure to timely deliver official...

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Blog, Securities Fraud Articles

FINRA Fines Piper Jaffray For Rules Violations.

FINRA recently announced that it has fined Piper Jaffray & Co. $700,000 for violations related to its failure to retain approximately...

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Blog, Securities Fraud Articles

Securities Investigation: 1861 Capital Discovery Domestic Fund

The White Law Group is investigating possible securities fraud involving the marketing and sale of the 1861 Capital Discovery Domestic...

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Blog, Securities Fraud Articles

Securities Fraud Investigation Involving Reverse Convertible Notes

The White Law Group is investigating the appropriateness of reverse convertible securities or reverse convertible notes sold by...

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Blog, Securities Fraud Articles

How to file a FINRA complaint

Whether you realized it at the time or not, when you established your brokerage account, you likely entered into an arbitration provision...

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Blog, Securities Fraud Articles

Wyoming Securities Laws

Each state has its own securities laws. The following are selected sections of the Wyoming securities laws that are generally applicable in...

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