Tag: broker misconduct
Did your Broker Fail to Follow your Instructions?
Brokers who don’t follow customer’s instructions may be held accountable through FINRA Arbitration. Brokers not adhering to...
Broker Embezzlement
Be Aware of Broker Embezzlement Broker embezzlement is a significant problem that presents itself within the financial industry. These...
Securities Fraud Investigation Involving 3 Former Securities America Financial Advisors.
The White Law Group is currently investigating 3 Ohio brokers who either work or have worked with Securities America. These...
SEC Enforcement Actions coming out of the 2008 financial crisis.
Securities and Exchange Commission (SEC) recently released a report highlighting key statistics relating to enforcement actions they have...
