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Tag: FINRA lawyer

Paulson Investment Co. Sanctioned for Unsuitable Investments, featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

January 24, 2023

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...

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Joseph Stone Capital Allegedly Failed to Supervise Excessive Trades in 25 Customer Accounts, featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations, Securities Fraud

September 9, 2022

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...

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The White Law Group Announces a Lawsuit against Essex National Securities and Infinex Investments Involving Healthcare Trust, featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud

August 24, 2022

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,...

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Government Accountability Office calls for FINRA Oversight Changes to Protect Investors, featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

July 15, 2022

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...

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Protecting Investors from Misconduct, FINRA releases FAQ on Rule 4111, featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud

April 18, 2022

Protecting Investors from Misconduct, FINRA releases FAQ on Rule 4111

FINRA releases FAQ on Rule 4111, Restricted Firm Rule  The Financial Industry Regulatory Authority has released frequently asked questions...

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FINRA Sanctions Crown Capital Securities LP for Compensation Violations, featured by top securities fraud attorneys, the White Law Group

Blog

March 14, 2022

FINRA Sanctions Crown Capital Securities LP for Violations 

FINRA Censures and Fines Crown Capital $75,000 for Compensation Violations  According to the Financial Industry Regulatory Authority...

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