Tag: FINRA attorney
FINRA Rule 4111: Is your Brokerage Firm on the Naughty List?
What is FINRA Rule 4111? FINRA Rule 4111 (Restricted Firm Obligations) focuses on broker-dealer firms with a history of misconduct or...
Classic Asset Management LLC Fined for Leveraged ETFs
SEC Charges ND Advisory Firm Classic Asset Management and Advisor with Unsuitable Leveraged ETFs According to an announcement on May 4,...
Annuity Investment Fraud
Annuity Investment Fraud According to an article in Financial Planning this week, we are in a “historic boom for annuities,” and...
Center Street Securities Overview
The White Law Group is reviewing the regulatory history of Center Street Securities Inc. Center Street Securities...
Can I Sue my Financial Advisor?
Can I sue my Financial Advisor or Broker? If you have suffered considerable investment losses, you may be wondering if it’s possible to...
Solicited Trades versus Unsolicited Trades
Why does it Matter if your Trades are Solicited in a FINRA Claim? The White Law Group represents investors in claims against their...
