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Tag: Florida securities attorney

Blog, Current Investigations

Alberto Sanchez | Broker Investigation

FINRA Bars Alberto Sanchez for Alleged Outside Business Activities Are you concerned about investments made with former financial advisor...

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Blog, Current Investigations, Securities Fraud

GWN Securities – Palm Beach Gardens – Censured & Fined

FINRA Sanctions GWN Securities for Sales Fee Overcharges According to the Financial Industry Regulatory Authority (FINRA) on February 20th,...

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Blog, Current Investigations

FL Advisor David W. Olson Barred from Securities Industry

Morgan Stanley Advisor David W. Olson Barred by FINRA According to the Financial Industry Regulatory Authority (FINRA), the regulator has...

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Blog, Current Investigations, Securities Fraud

Jimmy O. Moscoso Barred from the Securities Industry

Securities Investigation – Jimmy O. Moscoso According toThe Financial Industry Regulatory Authority (FINRA), the regulator has barred...

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Blog, Securities Fraud

Florida Broker Suspend

Florida broker Kevin Anthony Tuttle Suspended The Financial Industry Regulatory Authority (FINRA) has suspended Florida broker Kevin...

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Blog, Securities Fraud

Merrimac Corporate Securities, Inc. fined by FINRA

Merrimac Corporate Securities, Inc. (CRD #35463, Altamonte Springs, Florida) recently was fined $18,500. The National Adjudicatory Council...

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