August, 2009
Archive

August 27, 2009

New Rule on Broker Promissory Note Arbitration Proceedings- SEC approves...

Effective September 14, 2009, FINRA will begin expediting the administration of

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August 26, 2009

LawyersDirections.com, local lawyers and attorneys.

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August 26, 2009

FINRA Fines Three Firms Over $1.25 million for failing to...

The Financial Industry Regulatory Authority (FINRA) has recently fined three

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August 26, 2009

Reynold Frank Vaughan III suspended from FINRA for securities violations.

Reynold Frank Vaughan III suspended from FINRA for four months for securities

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August 25, 2009

Charles Edward Roden, of Oppenheimer & Co., Inc. in Armonk,...

According to a recent FINRA announcement, Charles Edward Roden, of Oppenheimer &

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August 24, 2009

Jorge Gerardo Pereira, formerly of Synergy Investment Group, LLC in...

Jorge Gerardo Pereira, formerly of Synergy Investment Group, LLC in Miami, Florida,

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