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Tag: NASD Rule 2212

Cold Calling

Blog, Current Investigations, Securities Fraud

September 22, 2016

Investor Alert: Cold Calling

Cold Calling – Know Your Rights – from the US Securities and Exchange Commission For many businesses, including securities firms, cold...

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Cold Calling

Blog, Securities Fraud

February 27, 2014

Is Cold calling permitted in the securities business?

Cold Calling Investment Losses Many securities firms telephone investors they do not know to sell stocks and other investments.  These...

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