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Tag: OBAs

Hector Hernandez Barred by FINRA featured by top securities fraud attorneys, the White Law Group

Broker Investigations, FINRA SEC Sanctions

November 28, 2023

Hector Hernandez Barred by FINRA 

FINRA Bars Hector Hernandez after Allegations of Outside Business Activities  According to public records, FINRA, the self-regulator that...

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FINRA Rule 3270 Outside Business Activities featured by top securities fraud attorneys, the White Law Group

Blog, FINRA SEC Sanctions

March 23, 2023

FINRA Rule 3270 Outside Business Activities 

What is FINRA Rule 3270 Outside Business Activities? The Financial Industry Regulatory Authority (FINRA), the regulator that oversees...

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