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Tag: Provident Royalties losses

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

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

Ameriprise Setting Aside Reserves for Securities America Legal Claims

According to the Investment News, Ameriprise Financial Inc. has announced that it is setting aside $40 million in legal reserves for class...

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Blog, Securities Fraud

Another FINRA Private Placement Investigation

According to the Investment News, National Securities Corp. is the latest broker-dealer to face disciplinary action from Finra over the...

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Blog, Securities Fraud

Workman Securities Reaches Agreement on Medical Capital and Provident Royalties Cases

According to Investment News, a broker-dealer that was a prominent seller of high-risk private placements that wound up going bust has...

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Blog, Securities Fraud

QA3 Financial to cease operations.

According to the Investment News, QA3 Financial is to cease operations.  Facing bankruptcy and a potential net capital violation, QA3...

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