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Tag: CMO fraud attorney

Blog, Securities Fraud Articles

Brookstone Securities fined by FINRA over CMO sales

The Financial Industry Regulatory Authority (FINRA) recently announced that a FINRA hearing panel ruled that Brookstone Securities of...

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Blog, Securities Fraud Articles

RBC Capital Markets, LLC fined by FINRA over CMOs.

RBC Capital Markets, LLC (CRD #31194, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...

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Blog, Securities Fraud Articles

David Lerner fined over municipal bond and CMO transactions.

A Financial Industry Regulatory Authority Inc. hearing panel recently ordered David Lerner to pay more than $3.7 million in fines and...

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