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Tag: FINRA

Blog, Current Investigations, Securities Fraud

Joseph Stone Capital Allegedly Failed to Supervise Excessive Trades in 25 Customer Accounts 

FINRA Complaint: Joseph Stone Capital to pay Restitution to Customers for Commissions, Fees   The Financial Industry Regulatory Authority...

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Blog, Securities Fraud

Risks of Investing in Leveraged and Inverse Exchange-traded Funds (ETFs)

Investigation of Leveraged Exchange-Traded Funds (ETFs) Did your broker recommend investing in leveraged exchange-traded funds (ETFs)? The...

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Blog, Securities Fraud

Portland, Oregon Securities Fraud Lawyer – Broker Fraud Attorney

Portland, Oregon Securities Fraud Attorney Are you looking for an experienced securities attorney near Portland, Oregon? The White Law...

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Publications

WEAU: Former Altoona Investment Advisor Barred from Securities Industry

Michael Shillin, financial advisor based in Altoona, Wisconsin,  has been barred from working in the securities industry by the Financial...

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Blog, Securities Fraud

FINRA Cracks Down on Excessive Trading

FINRA says there will be an Increase in Excessive Trading Cases in 2021 The Financial Industry Regulatory Authority (FINRA) is cracking...

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