securities compliance Archives - The White Law Group

Tag: securities compliance

November 17, 2011

According to a recent investmentnews.com article the Financial Industry Regulatory Authority (FINRA) “is warning firms about the use of...

October 26, 2011

The Financial Industry Regulatory Authority (FINRA) recently said in a release that “it has fined UBS Securities LLC $12 million for...

September 2, 2011

Andrew Haigney recently wrote an interesting article for businessinsider.com where he called investment advice “one of the greatest scams...

July 22, 2011

FINRA Proposes Rule Change for Class Action Employment Claims According to Investment News, FINRA will be proposing a rule change that...

January 7, 2011

Local California Counsel for FINRA Arbitrations The White Law Group often serves as local counsel throughout California for out-of-state...

December 27, 2010

The White Law Group is investigating possible investment fraud scams involving gold. With gold prices reaching record highs, financial...