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Tag: Texas

Blog, Securities Fraud

Dallas, Texas Securities Fraud Lawyer / Broker Fraud Attorney

Securities Fraud Attorney in Dallas, Texas *UPDATED* The White Law Group, LLC is a national securities fraud, securities arbitration,...

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Blog, Securities Fraud

APS Financial Corporation Expelled By FINRA

Financial Industry Regulatory Authority (FINRA) recently announced that it has expelled APS Financial Corporation, located in Austin,...

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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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Blog, Securities Fraud

FINRA fines Next Financial for Supervisory Failures

In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered in Houston, Texas, $1 million for supervisory...

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Blog, Securities Fraud

Penson Financial Services and Pinnacle Capital Markets fined by FINRA.

In February 2010, the Financial Industry Regulatory Authority (FINRA) announced that it had fined Penson Financial Services, a Dallas-based...

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