Tag: securities compliance
FINRA Wants “Senior Designations” to Have Real Meaning
According to a recent investmentnews.com article the Financial Industry Regulatory Authority (FINRA) “is warning firms about the use of...
UBS Fined $12 million by FINRA for Regulation SHO violations
The Financial Industry Regulatory Authority (FINRA) recently said in a release that “it has fined UBS Securities LLC $12 million for...
Financial Advisors’ Fiduciary Duty
Andrew Haigney recently wrote an interesting article for businessinsider.com where he called investment advice “one of the greatest scams...
Collective Action Claims for Financial Advisors
FINRA Proposes Rule Change for Class Action Employment Claims According to Investment News, FINRA will be proposing a rule change that...
Local California Counsel for FINRA Arbitrations
Local California Counsel for FINRA Arbitrations The White Law Group often serves as local counsel throughout California for out-of-state...
