Tag: FINRA

FINRA SEC Sanctions, Securities Fraud Articles

Cadaret, Grant & Company: Regulatory History Overview 

The White Law Group reviews the regulatory history of Cadaret, Grant & Company. Cadaret, Grant & Company,...

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FINRA SEC Sanctions, Securities Fraud Articles

Janney Montgomery Scott: Regulatory History and Sales Practices

The White Law Group reviews the regulatory history of Janney Montgomery Scott. Established in 1832, Janney Montgomery Scott is a...

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FINRA SEC Sanctions

Pruco Securities Regulatory History Overview 

The White Law Group reviews the regulatory history of Pruco Securities LLC.  Pruco Securities LLC (CRD#: 5685/SEC#: 801-52208,8-16402),...

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Broker Investigations, Securities Fraud Articles

Alexandria Bovee, Edward Jones, Barred by FINRA 

FINRA Investigates Alexandria Bovee’s involvement in Alleged Ponzi Scheme A former Edward Jones broker in Sumter, South Carolina,...

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FINRA Rule 4530: Reporting Requirements

What is FINRA Rule 4530? FINRA Rule 4530 requires that member firms disclose various details, including statistical and summarized data...

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FINRA SEC Sanctions, Securities Fraud Articles

Edward Jones: Overview of Complaints, Regulatory History

The White Law Group reviews the customer complaints and regulatory history of Edward Jones.  Edward Jones Background  Edward Jones...

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