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Tag: Securities Attorney

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FINRA Rule 2165 and Elder Financial Exploitation

Financial Advisors Role in Preventing Elder Financial Exploitation   FINRA Rule 2165 was created to protect seniors from exploitation....

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Blog, Current Investigations

FINRA Rule 2111 Suitability 

What is FINRA Rule 2111 Suitability?   FINRA Rule 2111 Suitability is a regulation established by the Financial Industry Regulatory...

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Blog, Securities Fraud

Social Media Apps & Investment Fraud Schemes 

How to Prevent becoming a victim of a Social Media Scam  According to Investment News this week, the potential misuse of social media...

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Blog, Securities Fraud

FINRA BrokerCheck to Flag “Restricted Firms”

The SEC Approves new Designation on FINRA’s BrokerCheck of  “Restricted Firm” According to reports this week, the...

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Blog, Securities Fraud

FINRA ups its Game with Reg BI Enforcement 

FINRA Sanctions Laidlaw Brokers for violation REG BI in Excessive Trading Case   According to an article this week in Financial Planning,...

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Blog, Current Investigations

J.P. Turner and Company Lawsuits 

The White Law Group is investigating J.P. Turner and Company Complaints Have you suffered losses investing with J.P. Turner and Company?...

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