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Tag: excessive markups

Blog, Securities Fraud Articles

SEC Commissioner Speaks Out about Lack of Bond Oversight

According to FA-Magazine, the commission of the SEC, Luis Aguilar, made claims that retail investors are often victim to higher markups in...

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Blog, Securities Fraud Articles

FINRA Fines Securities Firm $1 Million

According to the Financial Industry Regulatory Authority (FINRA), StateTrust Investment Inc has been fined $1.045 million by FINRA and...

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Blog, Securities Fraud Articles

FINRA Investigates Long Island firm David Lerner & Associates

According to the New York Post, in May 2010, FINRA accused Long Island brokerage firm David Lerner Associates and its head trader, William...

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Blog, Securities Fraud Articles

APS Financial Corporation Expelled By FINRA

Financial Industry Regulatory Authority (FINRA) recently announced that it has expelled APS Financial Corporation, located in Austin,...

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Blog, Securities Fraud Articles

FINRA fines Next Financial for Supervisory Failures

In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered in Houston, Texas, $1 million for supervisory...

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