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Tag: New York investment fraud attorney

Blog, Current Investigations, Securities Fraud

Mark Kaplan Reportedly Barred for Churning 93-year old client’s account

Broker Mark Kaplan allegedly executed 3,500 trades that resulted in $723,000 in losses According to the Financial Industry Regulatory...

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Blog, Securities Fraud

RBC Capital Markets Corporation nka RBC Capital Markets, LLC fined by FINRA

RBC Capital Markets Corporation nka RBC Capital Markets, LLC (CRD #31194, New York, New York) recently submitted a Letter of Acceptance,...

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