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Tag: due diligence

Blog, Current Investigations

Arete Wealth Management Complaints and Regulatory Actions  

The White Law Group reviews the regulatory history of Arete Wealth Management.    Arete Wealth Management, based in Chicago,...

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Blog, Current Investigations, Securities Fraud Articles

Parkland Securities Complaints and Regulatory Actions   

The White Law Group is investigating potential securities claims involving Parkland Securities     Parkland Securities, based in Ann...

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Blog, Securities Fraud Articles

KMS Financial Services, Inc. fined by FINRA

KMS Financial Services, Inc. (CRD #3866, Seattle, Washington) recently submitted a Letter of Acceptance, Waiver and Consent in which the...

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Blog, Securities Fraud Articles

Ace Diversified Capital, Inc. fined by FINRA

Ace Diversified Capital, Inc. (CRD® #41768, San Gabriel, California) and Lynnwood Jen (CRD #2198343, Registered Principal, Anaheim,...

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Blog, Securities Fraud Articles

Brookstone Securities fined by FINRA

Brookstone Securities, Inc. (CRD #13366, Lakeland, Florida) and David William Locy (CRD #4682865, Registered Principal, Overland Park,...

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Blog, Securities Fraud Articles

National Securities Corporation fined by FINRA

National Securities Corporation (CRD #7569, Seattle, Washington) and Matthew G. Portes (CRD #4995542, Registered Principal, Chicago,...

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