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Tag: FINRA know your customer rule

Unsuitable Investment Lawyer, featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud

April 23, 2023

Unsuitable Investment Lawyer  

Unsuitable Investment Lawyer  Unsuitable investments refer to financial products that are not suitable for your investment goals, risk...

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Blog, Securities Fraud

April 9, 2013

Unified Fiduciary Standard Coming?

The White Law Group continues to follow the SEC discussions regarding the development of a unified fiduciary standard in accordance with...

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Fiduciary Duties of Broker Dealers & Investment Advisers, featured by top securities fraud attorneys, The White Law Group

Blog, Securities Fraud

March 14, 2012

Fiduciary Duties of Broker Dealers & Investment Advisers

Dodd-Frank Wall Street Reform and Consumer Protection Act In the wake of the 2008 financial crisis, the Dodd-Frank Wall Street Reform and...

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FINRA Rules Regarding Suitability, featured by top securities fraud attorneys, the White Law Group.

Blog, Securities Fraud

January 4, 2012

FINRA Rules Regarding Suitability

Securities Fraud Attorneys | Suitability Claims One of the main claims in any securities fraud case is regarding suitability (i.e., were...

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