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Blog, Securities Fraud Articles

July 15, 2013

Potential Recovery of Taurus Global Resource Fund Investment Losses

The White Law Group is investigating the sale of Taurus Global Resource Fund by brokerage firms that may have misrepresented or unsuitably...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

July 15, 2013

M.D. Sass Securities, L.L.C. fined by FINRA

M.D. Sass Securities, L.L.C. (139760, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was...

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