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Tag: failure to supervise

Webull Financial Censured and Fined $3 Million, featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

March 15, 2023

Webull Financial Censured and Fined $3 Million 

FINRA Sanctions Webull Financial for Options Trading   According to public documents this week, the Financial Industry Regulatory...

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Broker Negligence Attorney, featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud

January 15, 2023

Broker Negligence Attorney 

Securities Attorneys for Broker Negligence Brokers and brokerage firms owe a duty of care and loyalty to their customers. The broker must...

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FINRA Hits Morgan Stanley for High-Risk Investments, featured by top securities fraud attornneys, the White Law Group

Blog, Securities Fraud

November 28, 2022

FINRA Hits Morgan Stanley for High-Risk Investments

Morgan Stanley Wealth to pay $697,897 for Failure to Supervise Risky Investments  The Financial Industry Regulatory Authority (FINRA) is...

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FINRA Fines Barclays Capital Inc. $2 Million for Best Execution Violations , featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

October 6, 2022

FINRA Fines Barclays Capital Inc. $2 Million

Barclays Sanctioned for Best Execution Violations and Supervisory Failures  According to the Financial Industry Regulatory Authority...

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Robinhood Financial Fined $1.5 Million, featured by top securities attorneys, The White Law Group

Blog, Current Investigations, Securities Fraud

December 20, 2019

Robinhood Financial Fined $1.5 Million

FINRA Sanctions Robinhood Financial over Supervisory Issues  According to the public records on FINRA’s website, on December 19, 2019,...

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finra examination findings

Blog, Current Investigations

December 14, 2018

FINRA Examination Findings: Failure of Oversight in Firms

FINRA Examination Findings: firms need to tighten up supervisory systems. Last Friday, the Financial Industry Regulatory Authority...

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