Tag: FINRA lawyer
FINRA Rule 4111: Is your Brokerage Firm on the Naughty List?
What is FINRA Rule 4111? FINRA Rule 4111 (Restricted Firm Obligations) focuses on broker-dealer firms with a history of misconduct or...
J.P. Turner and Company Lawsuits
The White Law Group is investigating J.P. Turner and Company Complaints Have you suffered losses investing with J.P. Turner and Company?...
Paulson Investment Co. Sanctioned for Unsuitable Investments
FINRA Censures and Fines Paulson for Variable Interest Rate Structured Products Sales Paulson Investment Company, LLC, a FINRA-registered...
Joseph Stone Allegedly Failed to Supervise Excessive Trades
FINRA Complaint: Joseph Stone Capital to pay Restitution to Customers for Commissions, Fees The Financial Industry Regulatory Authority...
The White Law Group Files Lawsuit against Essex and Infinex
Essex National Securities Inc. and Infinex Investments Inc. are Allegedly Responsible For Losses In High-risk Alternative Investment,...
GAO calls for FINRA Oversight Changes to Protect Investors
The Government Accountability Office (GAO) has called on the Securities and Exchange Commission (SEC) to make oversight changes to...
