logo_web_wht
FREE CONSULTATION
(888) 637-5510

Tag: investment adviser due diligence

Blog, Securities Fraud Articles

February 4, 2014

SEC Issues Risk Alert to Investment Advisory Firms

According to the Securities and Exchange Commission, the Office of Compliance Inspections and Examinations (OCIE) recently issued a Risk...

Read More →

Blog, Securities Fraud Articles

November 22, 2013

FINRA Improves BrokerCheck

On November 12, 2013 the Financial Industry Regulatory Authority (FINRA) launched its new enhanced version of BrokerCheck, an online tool...

Read More →
Investment Losses?
Contact our National Securities Fraud Attorneys
GET A FREE CONSULTATION

Why Hire The White Law Group?

$50 M
Recovered for Investors
30 Years
of Securities Law Experience
700+
FINRA Arbitration Cases
50 States
Representing Investors
5-Star
AVVO Attorney Rating
Contingency Based Fees
logo_web_wht2
(312) 238-9650 | Fax: (312) 238-8950 | (888) 637-5510 | 125 S. Wacker Drive, Suite 300, Chicago, Illinois 60606 The information you obtain at this site is not, nor is it intended to be, legal advice. You should consult an attorney for individual advice regarding your own situation. You may reproduce materials available at this site for your own personal use and for non-commercial distribution. All copies must include this copyright statement. © 2023 by The White Law Group, LLC All rights reserved.
PRIVACY POLICY

SITE MAP