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Tag: FINRA

Blog, Securities Fraud Articles

How to File a Complaint against your Broker

If you have a Dispute with your Broker Whether you realized it at the time or not, when you established your brokerage account, you likely...

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Securities Fraud Articles

FINRA Rule 2020: Manipulative, Deceptive, Fraudulent Devices

What is FINRA Rule 2020? FINRA Rule 2020 was put in place by the Financial Regulatory Authority (FINRA), to deter the use of manipulative,...

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Blog, Securities Fraud Articles

Fastest Growing Independent Broker-Dealers

The Ten Fastest Growing Independent Broker-Dealers in 2022 According to  Investment News, the following brokerage firms are the top ten...

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Broker Investigations

Jason Jodway Sanctioned for Selling Away Allegations 

Michigan Sanctions Advisor Jason Jodway for Selling Away   The state of Michigan reportedly sanctioned financial advisor Jason Jodway...

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Broker Investigations

Andrew Schell has 19 Customer Complaints 

Customers Allege Broker Andrew Schell made Unauthorized Trades  The White Law Group is investigating potential securities claims involving...

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FINRA SEC Sanctions

Pruco Securities 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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