FINRA arbitration lawyer Archives - Page 2 of 8

Tag: FINRA arbitration lawyer

November 5, 2013

Have you suffered financial losses as a result of your dealings with ex-broker James Scott McKee? If so, The White Law Group may be able to...

May 8, 2013

FINRA recently announced that Paul Grover Gomez a registered representative in El Toro, California has been fined $75,000 and suspended...

April 9, 2013

The White Law Group continues to follow the SEC discussions regarding the development of a unified fiduciary standard in accordance with...

August 31, 2012

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory...

July 19, 2012

According to an Investment News report, Fidelity has agreed to settle with Finra and pay a $375,000 fine over alleged sales violations...

June 14, 2012

On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b)...