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Tag: NASD Rule 2212

Blog, Current Investigations, Securities Fraud

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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Blog, Securities Fraud

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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