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Tag: Provident Royalties fraud

Blog, Securities Fraud

Two Provident Royalties founders fined by FINRA

It is being reported that Brendan Coughlin and Henry Harrison, two co-founders of Provident Royalties LLC, have been fined $50,000 each and...

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Blog, Securities Fraud

Expert Says Some Brokerage Firms Performed Poor Private Placement Due Diligence

A recent article by Bruce Kelly of the investmentnews.com reported the opinion of Gordon Yale, a forensic accountant, who has served as an...

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Blog, Securities Fraud

Claims to Recover Provident Royalties LLC Investment Losses Continue

Have you suffered losses due to your investment in Provident Royalties LLC and/or their affiliates like Provident Resources, Provident...

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Blog, Securities Fraud

Capital Financial Services In More Trouble?

According to the Investment News, the Securities and Exchange Commission has alleged that an independent broker-dealer that was a leading...

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Blog, Securities Fraud

CapWest Securities Hanging On By A Thread?

According to the Investment News, another independent broker-dealer that sold high-risk private placements is hanging on by a thread, with...

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Blog, Securities Fraud

Broker Dealers Suing Insurance Carriers Over Coverage For Customer Claims

According to the Investment News, three independent broker-dealers are suing their respective insurance carriers for failing to cover...

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