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Tag: finra attorneys

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Unauthorized Trading

Unauthorized Trading in your Brokerage Account Have you suffered losses due to unauthorized trading in your brokerage account? The...

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Blog, Securities Fraud

Breach of Fiduciary Duty 

Breach of Fiduciary Duty – Is your Broker acting in your Best Interest? A breach of fiduciary duty occurs when someone who owes a...

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Blog, Securities Fraud

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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

FINRA Rule 2090 Know your Customer 

What is FINRA Rule 2090?  FINRA Rule 2090, also known as the “Know Your Customer” rule, was created by the Financial Industry...

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Blog, Current Investigations

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...

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