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Tag: Forgery

Blog, Securities Fraud Articles

Sanjeev Jayant Kumar Shah Pleads Guilty To Securities Fraud

A former Smith Barney financial adviser in New York has plead guilty to attempting to defraud a client of more than $3 million. According...

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Blog, Securities Fraud Articles

Maria Anne Harding, formerly of Wachovia Securities, LLC in Fort Myers, suspended from FINRA

Maria Anne Harding, registered as a financial advisor with Wachovia Securities LLC from May 2007 through July 2009, has been suspended from...

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