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Tag: FINRA fine

September 30, 2010

Penson Financial Services and Pinnacle Capital Markets fined by FINRA.

In February 2010, the Financial Industry Regulatory Authority (FINRA) announced that it had fined Penson Financial Services, a Dallas-based...

Blog, Securities Fraud Articles

May 13, 2010

Los Angeles based Westpark Capital fined by FINRA

Financial Industry Regulatory Authority (FINRA) recently announced that it has ordered Los Angeles-based Westpark Capital, Inc. to pay a...

Blog, Securities Fraud Articles

March 21, 2010

Investigation of Chicago Investment Group, LLC

The White Law Group is currently investigating whether Chicago Investment Group financial advisors, including but not limited to, Howard...

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