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Merriman Capital, Inc. fined by FINRA
Merriman Capital, Inc. (CRD #18296, San Francisco, California) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
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...
Silver Oak Securities, Incorporated fined by FINRA
Silver Oak Securities, Incorporated (CRD #46947, Jackson, Tennessee) recently submitted a Letter of Acceptance, Waiver and Consent in...
Safra Securities LLC fined by FINRA
Safra Securities LLC (CRD #47873, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was...
J.P. Morgan Clearing Corp. fined by FINRA
J.P. Morgan Clearing Corp. (CRD #28432, Brooklyn, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
Alabama Extends the Statute of Limitations for Securities Fraud
According to the Associated Press, on Tuesday April 8, 2014, Governor Robert Bentley signed legislation that extends the statute of...
