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Tag: FINRA attorney

Blog, FINRA SEC Sanctions, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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,...

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Blog, Securities Fraud Articles

Annuity Investment Fraud 

Annuity Investment Fraud  According to an article in Financial Planning this week, we are in a “historic boom for annuities,” and...

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Blog, Securities Fraud Articles

Center Street Securities Overview

The White Law Group is reviewing the regulatory history of Center Street Securities Inc.  Center Street Securities...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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