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Tag: FINRA arbitration

Feature by top securities attorneys by The White Law Group

Blog

August 11, 2023

Derivatives – Complex Investments

Understanding Derivatives Derivatives are financial instruments that derive their value from an underlying asset, such as stocks, bonds, or...

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Feature by top securities fraud attorneys by The White Law Group.

Blog

August 10, 2023

Conflicts of Interest

Understanding Conflicts of Interest Conflicts of interest can occur in the securities industry when a broker or financial advisor...

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Feature by top securities fraud attorneys by The White Law Group.

FINRA SEC Sanctions

August 9, 2023

The SEC Cracks down on Private Messaging

Broker Dealers and Private Text Apps – SEC Issues $539 Million in Fines On August 8, 2023, The Securities and Exchange Commission...

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Moors & Cabot Inc. Review featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

April 1, 2023

Moors & Cabot Inc. Overview

The White Law Group is reviewing the regulatory history of Moors & Cabot Inc.   Moors & Cabot Inc....

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What is Failure to Supervise FINRA Rule 3110 Supervision, Featured by Top Securities Fraud Attorneys, The White Law Group

Blog, Securities Fraud Articles

March 29, 2023 • One Comment

FINRA RULE 3110 (SUPERVISION)

What is Failure to Supervise – FINRA Rule 3110?   FINRA Rule 3110 (Failure to Supervise) requires a firm to establish and maintain a...

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Concourse Financial Group Securities (fka Proequities Inc.)

Blog, Securities Fraud Articles

March 27, 2023

Concourse Financial Group (Proequities Inc.) Overview

The White Law Group reviews the regulatory history of Concourse Financial Group (Proequities Inc.).    Concourse Financial Group...

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