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Tag: finra sanctions

Webull Financial Censured and Fined $3 Million, featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

March 15, 2023

Webull Financial Censured and Fined $3 Million 

FINRA Sanctions Webull Financial for Options Trading   According to public documents this week, the Financial Industry Regulatory...

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FINRA Sanctions 3 Firms for 529 Overcharges, featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

January 26, 2023

FINRA Sanctions 3 Firms for 529 Overcharges 

Securities America, Royal Alliance, and SagePoint pay Restitution to 529 plan Investors  According to a Letter of Acceptance Waiver and...

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FINRA Fines Surge 43% in 2020, featured by top securities fraud attorneys, The White Law Group

Blog, Securities Fraud

March 19, 2021

FINRA Fines Surge 43% in 2020

FINRA sees 43% increase in fines, yet disciplinary actions were only up 1% in 2020. The Financial Industry Regulatory Authority Inc....

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