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Tag: finra sanctions

Blog, FINRA SEC Sanctions, Securities Fraud Articles

Triad Advisors LLC: Regulatory History Overview

The White Law Group reviews the regulatory history of Triad Advisors, LLC.   Triad Advisors LLC, (CRD# 25803, Atlanta, GA) is a national...

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FINRA SEC Sanctions, Securities Fraud Articles

David Lerner Associates: Complaints, Regulatory Actions

The White Law Group reviews the regulatory history of David Lerner Associates.   David Lerner Associates (CRD#5397) functions as a...

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FINRA SEC Sanctions

Thrivent Investment Fined after Forgery Allegations

Thrivent Investment Management Sanctioned by Securities Regulators  Thrivent Investment Management Inc has reportedly been fined $325,000...

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FINRA SEC Sanctions, Securities Fraud Articles

Arive Capital Markets Sanctioned for Supervisory Failures  

Arive Capital Markets Sanctioned for Supervisory Failures Arive Capital Markets, a registered brokerage firm, reportedly settled with...

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FINRA SEC Sanctions

SoFi Financial Pays $1.1 Million Fine

FINRA Charges SoFi Financial after Unauthorized Funds Transfers SoFi Financial, headquartered in San Francisco and catering to...

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FINRA SEC Sanctions, Securities Fraud Articles

RBC Capital Markets Regulatory History Overview

The White Law Group reviews the regulatory history of RBC Capital Markets.  RBC Capital Markets (CRD#: 31194/SEC#: 801-13059,8-45411), a...

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