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Tag: Texas securities lawyer

Blog, Securities Fraud Articles

October 1, 2012

Sanders Morris Harris fined by FINRA

Sanders Morris Harris, Inc. (CRD #20580, Houston, Texas) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...

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Blog, Securities Fraud Articles

February 23, 2012

Thrivent Financial Advisor Has CFP License Suspended

According to reports, Roger D. Stevenson, a San Benito-based financial planner with Thrivent Financial for Lutherans, has been penalized by...

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Blog, Securities Fraud Articles

February 23, 2012

Gregory Walker Charged With Identity Theft and Wire Fraud

According to federal court documents, Gregory B. Walker, a former financial advisor with Raymond James, was indicted in January by a U.S....

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Blog, Securities Fraud Articles

September 26, 2011

Securities Regulatory Information Regarding H.D. Vest

The following is a brief breakdown of publicly available information regarding H.D. Vest and its securities sales practices and FINRA...

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Blog, Securities Fraud Articles

September 26, 2011

Securities Regulatory Information Regarding NFP Securities

The following is a brief breakdown of publicly available information regarding NFP Securities and its securities sales practices and FINRA...

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Blog, Securities Fraud Articles

September 26, 2011

Securities Regulatory Information Regarding NEXT Financial

The following is a brief breakdown of publicly available information regarding NEXT Financial and its securities sales practices and FINRA...

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