Tag: FINRA
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...
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,...
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...
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...
Andrew Schell has 19 Customer Complaints
Customers Allege Broker Andrew Schell made Unauthorized Trades The White Law Group is investigating potential securities claims involving...
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),...