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Tag: TRACE

Blog, Securities Fraud

Rafferty Capital Markets, LLC fined by FINRA

Rafferty Capital Markets, LLC (CRD #23682, Garden City, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which...

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Blog, Securities Fraud

The Firm of Cantor Fitzgerald & Co. Fined by FINRA

Cantor Fitzgerald & Co. (CRD #134, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...

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