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Tag: recovery of investment losses

Blog, Securities Fraud

Largest Independent Broker-Dealers

According to the Investment News, the following are the largest independent broker-dealers (ranked by reps producing over $100,000): Click...

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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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