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Tag: unsuitable investments

Blog, Current Investigations

Coastal Equities, Inc. to return $280,000 to Clients

FINRA Sanctions Coastal Equities for Allegations of Failure to Supervise Unsuitable Investments According to a Letter of Acceptance Waiver...

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Publications

Scottsdale Progress: Local financial advisor under fire in lawsuit

A Scottsdale financial advisor with a questionable history is the subject of a lawsuit alleging he breached his fiduciary duty when he made...

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Blog, Current Investigations

Rock Hill Associates LP Investigation

Rock Hill Associates LP Secondary Market Offer Are you concerned about your investment in Rock Hill Associates LP? If so the securities...

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Blog, Securities Fraud

FINRA Claim Filed against NYLIFE 

Press Release: The White Law Group files a FINRA Claim against NYLIFE Securities alleging unsuitable investments in Future Income Payments...

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Blog, Current Investigations

FINRA Examination Findings: Failure of Oversight in Firms

FINRA Examination Findings: firms need to tighten up supervisory systems. Last Friday, the Financial Industry Regulatory Authority...

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Current Investigations

Buffered STEEPLS Investment Losses

Investigating Potential Claims involving Buffered STEEPLS Have you suffered losses investing in Buffered STEEPLS (Strategic Equity Exposure...

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