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Tag: FINRA Rule 2111
Solicited Trades versus Unsolicited Trades
Why does it Matter if your Trades are Solicited in a FINRA Claim? The White Law Group represents investors in claims against their...
Unsuitable Investment Lawyer
Did your Broker recommend an Unsuitable Investment? FINRA Rule 2111 requires that a firm or its representative have a reasonable basis to...
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...
Securities Attorney’s view of the basics of churning fraud
What is Churning Fraud? Churning fraud is defined as an unethical practice employed by some financial advisors to increase their...
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...
Victim of Excessive Trading?
Have You Been a Victim of Excessive Trading? Has your account been excessively traded or churned by your financial advisor? If so, you may...
