FINRA arbitration attorney Archives - Page 2 of 12

Tag: FINRA arbitration attorney

December 11, 2014

The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against...

December 4, 2014

William Brian Mulder, Merrill Lynch, Tulsa, OK Are you concerned about investments with William Brian Mulder? If so, the securities...

August 25, 2014

According to the Associated press, the president of DBSI, David Swenson, was sentence to 20 years in federal prison by District Judge B....

May 6, 2014

According to Investment News, on May 1, 2014, an arbitration panel for the Financial Industry Regulatory Authority (FINRA) awarded two...

April 17, 2014

According to reports, CEO and president of DBSI, Douglas L. Swenson, was convicted of thirty-four counts of wire fraud and forty-four...

April 8, 2014

According to InvestmentNews, broker-dealer Berthel Fisher & Co. Financial Services Inc., “one of the biggest seller of DBSI...