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Tag: private placements

Blog, Securities Fraud

Garden State Securities, Inc. fined by FINRA

Garden State Securities, Inc. (CRD #10083, Red Bank, New Jersey) recently submitted a Letter of Acceptance, Waiver and Consent in which...

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Blog, Securities Fraud

FINRA Outlines Investments They are Watching Closely in 2012

The Financial Industry Regulatory Authority (FINRA) outlined a list of investment products that they will be watching closely in 2012...

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Blog, Securities Fraud

Securities Regulators Direct Attention to Nontraded BDCs

A recent article by Bruce Kelly of the investmentnews.com reports on how nontraded business development companies (BDC’s) are becoming...

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Blog, Securities Fraud

Ace Diversified Capital, Inc. fined by FINRA

Ace Diversified Capital, Inc. (CRD® #41768, San Gabriel, California) and Lynnwood Jen (CRD #2198343, Registered Principal, Anaheim,...

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Blog, Securities Fraud

National Securities Corporation fined by FINRA

National Securities Corporation (CRD #7569, Seattle, Washington) and Matthew G. Portes (CRD #4995542, Registered Principal, Chicago,...

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Blog, Securities Fraud

Proposed Amendment to FINRA Rule 5122

FINRA is requesting comment on a proposal to amend FINRA Rule 5122, which requires, subject to certain exemptions, disclosure in the...

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