Tag: FINRA arbitration
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.: Regulatory History 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? Failure to Supervise, as outlined in FINRA Rule 3110, is a regulatory violation...
Concourse Financial Group (Proequities Inc.) Overview
The White Law Group reviews the regulatory history of Concourse Financial Group (Proequities Inc.). Concourse Financial Group...
1050 OZ A LLC – Securities Investigation
Investigating Claims – 1050 OZ A LLC The White Law Group is investigating potential securities claims involving broker-dealers who...
ShiftPixy Inc. – Securities Investigation
Investigating Claims involving ShiftPixy Inc. Are you concerned about your investment in ShiftPixy Inc.? The White Law Group is...
