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Tag: securities compliance

Blog, Securities Fraud

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...

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Blog, Securities Fraud

UBS Fined $12 million by FINRA for Regulation SHO violations and Failure to Supervise

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

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Blog, Securities Fraud

The Difficult Balance Between a Financial Advisors’ Fiduciary Duty and Pushing Their Own Products

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

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Blog, Securities Fraud

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...

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Blog, Securities Fraud

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...

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Blog, Securities Fraud

Investment Fraud Scams Involving Gold and Gold Futures.

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

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