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Tag: Securities Attorney

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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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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Blog, Securities Fraud Articles

Risks of Investing in Leveraged and Inverse Exchange-traded Funds (ETFs)

Overview of Inverse and Leveraged Exchange-Traded Funds (ETFs)  Did your broker recommend investing in leveraged or inverse ETFs?  The...

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Blog, Securities Fraud Articles

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Financial Advisor Promissory Note Arbitration Attorneys

Securities Attorneys for Broker Promissory Note Arbitration    If you are a broker or financial advisor involved in a dispute with...

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Blog, FINRA SEC Sanctions, Securities Fraud Articles

FINRA Rule 4111: Is your Brokerage Firm on the Naughty List? 

What is FINRA Rule 4111?  FINRA Rule 4111 (Restricted Firm Obligations) focuses on broker-dealer firms with a history of misconduct or...

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Blog, Current Investigations

ShiftPixy Inc. – Securities Investigation 

Investigating Claims involving ShiftPixy Inc.   Are you concerned about your investment in ShiftPixy Inc.? The White Law Group is...

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