Tag: securities regulation
Securities Settle with E*TRADE over Auction Rate Securities
According the nasaa.org, The North American Securities Administrators Association (NASAA) announced recently “that a settlement in...
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...
Recovery of Foresee Strategies Insurance Funds Investment Losses
Have you suffered investment losses in the Foresee Strategies Insurance Funds? If so, The White Law Group may be able to help you recover...
Advisors “wish they knew more” about Alternative Investments
According to a recent poll and article from investmentnews.com 52% of financial advisors polled said they were not “…as knowledgeable...
Independent Broker-Dealers Sell Fewer Non-traded REITs
According to a recent article on the investmentnews.com website, some independent broker-dealers are permitting their representatives to...
