The White Law Group, LLC, a South Florida securities fraud, broker fraud, securities arbitration, investor protection and Chapter 7 bankruptcy law firm based in Boca Raton, Florida.

2010. Standards of Commercial Honor and Principles of Trade
A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.
2020. Use of Manipulative, Deceptive or Other Fraudulent Devices
No member shall effect any transaction in, or induce the purchase or sale of, any security by means [...]

Effective September 14, 2009, FINRA will begin expediting the administration of cases that solely involve a brokerage firm’s claim than an associated person (broker or financial advisor) failed to pay money owed on a promissory note. Under the new procedures, a single public arbitrator from the FINRA roster of arbitrators approved to hear statutory [...]