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Tag: Proequities

Blog, Securities Fraud

Top Independent Broker-Dealers According to Investment News

RANK Broker-dealer Total gross revenues 1 LPL Investment Holdings Inc. $2.8B • LPL Financial One Beacon St. Boston, MA 02108 joinlpl.com...

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Blog, Securities Fraud

FINRA Fines For Mutual Fund Sales Practices

In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA’s (then...

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Blog, Securities Fraud

Alvin Charles Ramsey, Proequities Barred from securities industry.

FINRA recently announced that Alvin Charles Ramsey, formerly a registered representative with Proequities, Inc. (a FINRA registered...

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Blog, Securities Fraud

FINRA fines and suspends David Alan Tucker

FINRA recently announced that David Alan Tucker, a financial advisor for Brookstone Securities, Inc. in Port Orange, Florida, has been...

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