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Tag: private securities transactions

Investment Loss Recovery

Lucas Hales, Virtua, Suspended by FINRA 

Securities Regulator Suspends Lucas Hales for Private Securities Transactions  The Financial Industry Regulatory Authority (FINRA) has...

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Blog, Current Investigations, Securities Fraud Articles

Masood Azad (Mike Azad) Broker Investigation

Financial Advisor Masood Azad (Mike Azad), First Allied Securities, League City, TX FINRA Reportedly Bars Mike Azad after Allegations of...

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Blog, Securities Fraud Articles

Portfolio Advisors Alliance, Inc. fined by FINRA

Portfolio Advisors Alliance, Inc. (CRD #101680, New York, New York) and Marcelle Long (CRD #2679335, Registered Principal, Atlanta,...

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