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Tag: securities regulation

Blog, Securities Fraud Articles

Activity Letter from my Brokerage Firm: What does it mean?

Why did my Brokerage Firm send me this letter? If you have ever received a letter from your brokerage firm regarding the trading, or...

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Blog, Securities Fraud Articles

Sala-Multi Series Fund and Foresee Strategies

The White Law Group continues to investigate potential FINRA arbitration claims against the broker-dealers that may have improperly sold...

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Blog, Securities Fraud Articles

Wadsworth Investment Co. Faces State Scrutiny

Wadsworth Investment Co. reportedly has been told by the Connecticut state Department of Banking that it has “…90 days to make changes...

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Blog, Securities Fraud Articles

BankAtlantic Bancorp Charged with Misleading Investors

According to a recent release from the Securities and Exchange Commission (SEC), they have “charged the holding company for one of...

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Blog, Securities Fraud Articles

Wells Fargo Fined $2 Million by FINRA

The Financial Industry Regulatory Authority (FINRA) has announced that it has levied a $2 million fine on Wells Fargo Investments, LLC....

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