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Tag: H&R Block

October 12, 2010

FINRA Fines Ameriprise for Reverse Convertible Notes

The Financial Industry Regulatory Authority (FINRA) has fined H&R Block Financial Advisors (now Ameriprise Advisor Services) $200,000...

Blog, Securities Fraud Articles

June 11, 2010

Drumond Ricardo Roby barred from securities industry

FINRA recently announced that former H&R Block Financial Advisor Drumond Ricardo Roby has been barred from association with any FINRA...

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