Tag: FINRA arbitration
Derivatives – Complex Investments
Understanding Derivatives Derivatives are financial instruments that derive their value from an underlying asset, such as stocks, bonds, or...
Conflicts of Interest
Understanding Conflicts of Interest Conflicts of interest can occur in the securities industry when a broker or financial advisor...
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...
Moors & Cabot Inc. Overview
The White Law Group is reviewing the regulatory history of Moors & Cabot Inc. Moors & Cabot Inc....
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...
Concourse Financial Group (Proequities Inc.) Overview
The White Law Group reviews the regulatory history of Concourse Financial Group (Proequities Inc.). Concourse Financial Group...