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Tag: FINRA arbitration

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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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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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FINRA SEC Sanctions

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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Blog, Current Investigations

Moors & Cabot Inc. Overview

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

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Blog, Securities Fraud Articles

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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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Blog, Securities Fraud Articles

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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