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Tag: Provident Royalties scam

Blog, Securities Fraud

Milkie/Ferguson Investments shuts down.

According to reports, Milkie/Ferguson Investments Inc., a small broker-dealer that was a big seller of fraudulent Provident Royalties LLC...

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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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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

FINRA focused on Private Placements and Non-Traded REITs

Broker-dealer sales of opaque and illiquid private investments are squarely in the sights of securities regulators at the Financial...

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Blog, Securities Fraud

FINRA Rules on Private Placements

Private Placements have become a hot button issue for FINRA regulators and securities attorneys representing investors.  The number of...

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Blog, Securities Fraud

Iowa Broker Dealers Named In Suit Involving Provident Royalties

According to the Business Record, DeWaay Financial Network LLC of Clive and three other Iowa investment brokers are among 49 firms that...

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