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Tag: FINRA regulatory attorney

FINRA Rule 8210: Responding to Information Request, featured by Top Securities Fraud Attorneys, The White Law Group

Blog, Securities Fraud Articles

January 7, 2020

FINRA Rule 8210: Responding to Information Request

Responding to FINRA Rule 8210 Information Request If you are a financial advisor and have received an official-looking letter from FINRA...

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Blog, Securities Fraud Articles

December 29, 2011

FINRA Fines Credit Suisse Securities for SHO Violations

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Credit Suisse Securities (USA) LLC $1.75 million...

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