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Tag: LJM funds

CFP Board Sanctions 2023 featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud Articles

May 17, 2023

CFP Board Sanctions 2023  

CFP Board Announces Imposed Sanctions on 22 Certified Financial Planners The CFP Board refers to the Certified Financial Planner Board of...

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What is Failure to Supervise FINRA Rule 3110 Supervision, Featured by Top Securities Fraud Attorneys, The White Law Group

Blog, Securities Fraud Articles

March 29, 2023 • One Comment

FINRA RULE 3110 (SUPERVISION)

What is Failure to Supervise – FINRA Rule 3110?   FINRA Rule 3110 (Failure to Supervise) requires a firm to establish and maintain a...

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