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Tag: New York securities lawyer

Steven Pagartanis

Blog, Current Investigations, Securities Fraud Articles

April 16, 2018

Steven Pagartanis Barred from Securities Industry

Steven Pagartanis –Cadaret, Grant & Co. According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred...

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Stephen J. Woods

Blog, Current Investigations

March 16, 2018

New York Advisor Stephen J. Woods Barred from Securities Industry

Stephen J. Woods – Securities Investigation The White Law Group is investigating potential claims involving New York broker Stephen...

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Alexander Capital

Securities Fraud Articles

October 5, 2017

SEC reportedly charges Alexander Capital Brokers

Alexander Capital LP Named in the Complaint According to a press announcement on September 28, 2017, the Securities and Exchange Commission...

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Blog, Securities Fraud Articles

October 1, 2012

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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