Call Now for a Free Consultation
(888) 637-5510

Tag: securities

Blog, Securities Fraud

April 15, 2014

PNC Investments LLC fined by FINRA

PNC Investments LLC (CRD# 129052, Pittsburgh, Pennsylvania) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...

Read More →

Blog, Securities Fraud

April 15, 2014

Chase Investment Services Corp. fined by FINRA

Chase Investment Services Corp. (CRD #25574, Chicago, Illinois) recently submitted a Letter of Acceptance, Waiver and Consent in which the...

Read More →

Blog, Securities Fraud

July 15, 2013

Thomas Weisel Partners, LLC fined by FINRA

Thomas Weisel Partners, LLC (CRD #46237, San Francisco, California) was fined $200,000. The sanction was based on findings that the firm...

Read More →

Blog, Securities Fraud

July 15, 2013

Securities America, Inc. fined by FINRA

Securities America, Inc. (CRD #10205, La Vista, Nebraska) submitted a Letter of Acceptance, Waiver and Consent in which the firm was...

Read More →

Blog, Securities Fraud

July 15, 2013

FINRA Fines Deutsche Bank Securities Inc.

Deutsche Bank Securities Inc. (CRD #2525, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was...

Read More →

Blog, Securities Fraud

July 15, 2013

Ameriprise Financial Services Fined

Amerprise Financial Services, Inc. (CRD #6363, Minneapolis, Minnesota) submitted as Letter of Acceptance, Waiver and Consent in which the...

Read More →

(312) 238-9650 | Fax (312) 238-8950 | (888) 637-5510 | 125 S. Wacker Drive, Suite 300, Chicago, Illinois 60606

The information you obtain at this site is not, nor is it intended to be, legal advice. You should consult an attorney for individual advice regarding your own situation. You may reproduce materials available at this site for your own personal use and for non-commercial distribution. All copies must include this copyright statement. © 2015 by The White Law Group, LLC All rights reserved.