Tag: finra attorneys
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...
FINRA Rule 4512 Customer Account Information
What is FINRA Rule 4512? The Customer Account Information Rule – FINRA Rule 4512 was created by the Financial Industry Regulatory...
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...
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...
Riot Blockchain Inc. – Securities Investigation
Investigating Claims involving Riot Blockchain Inc. Are you concerned about your investment in Riot Blockchain Inc.? The White Law Group is...
Tesaro Inc. – Securities Investigation
Investigating Claims involving Tesaro Inc. The White Law Group is investigating potential securities claims involving broker-dealers who...
