Tag: broker dealer
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...
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...
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...
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...
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...