Tag: Florida
FINRA Fines Firms For Overstating Trade Volume
In 2008, FINRA announced that it has fined 19 broker-dealers a total of $2.8 million for substantially overstating their advertised trade...
Recovery of Hedge Fund Investment Losses
If you have suffered investment losses in a hedge fund recommended to you by your financial advisor or stockbroker, The White Law Group may...
FINRA Fines Goldman Sachs
FINRA recently announced that it has fined Goldman, Sachs & Co. $650,000 for failing to disclose that two of its registered...
Rhonda Breard Barred From Securities Industry
Rhonda Breard, a Kirkland, Wash., investment adviser who has been accused of stealing an estimated $8 million from at least 38 clients, has...
FINRA Fines For Mutual Fund Sales Practices
In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA’s (then...
Janney Montgomery Scott Regulatory History and Sales Practices
Established in 1832, Janney Montgomery Scott is a Philadelphia, Pennsylvania based FINRA broker-dealer. Janney Montgomery Scott has from...
