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Tag: FINRA Regulatory Notice 11-02

Blog, Securities Fraud

Financial Advisors Duties:  Suitability & Tax Consequences

Does a financial advisor have to factor in taxes when making a recommendation? Before recommending an investment, financial advisors are...

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Blog, Securities Fraud

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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Blog, Securities Fraud

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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