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Tag: finra attorneys

Unauthorized Trading, featured by top securities fraud attorneys, the White Law Group

Blog

March 31, 2023

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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Breach of Fiduciary Duty, featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud

March 30, 2023

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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What is Failure to Supervise FINRA Rule 3110 Supervision, Featured by Top Securities Fraud Attorneys, The White Law Group

Blog, Securities Fraud

March 29, 2023 • One Comment

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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FINRA Rule 2090 Know your Customer featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud

March 27, 2023

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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1050 OZ A LLC, Securities Investigation

Blog, Current Investigations

March 21, 2023

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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