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Month: April 2012

Blog, Securities Fraud Articles

Not All ETFs Invest The Way You Would Think

According to Casey Research, some exchange-traded funds now on the market have misleading names that don’t reflect their true makeup....

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Blog, Securities Fraud Articles

Morgan Keegan in trouble again….

The Labor Department recently entered into a settlement with Morgan Keegan & Co. Inc., following an investigation revealing that the...

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Blog, Securities Fraud Articles

OpVest Sanctioned by NFA Over Commissions

National Futures Association (NFA) has levied a $75,000 fine against Option Investments, Inc. (otherwise known as OpVest), a Commodity...

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Blog, Securities Fraud Articles

optionsXpress Charged By SEC Over Naked Short Selling Scheme

The Securities and Exchange Commission recently charged optionsXpress, and online brokerage and clearing agency specializing in options and...

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Blog, Securities Fraud Articles

FINRA U-5 Expungement Procedure Updates

FINRA is currently requesting comment on proposed new rules that would permit persons who are the “subject of” allegations of sales...

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Blog, Securities Fraud Articles

Radio Personality, Financial Advisor, Charged With Fraud

It is being reported that well-known financial advisor, Matthew D. Hutcheson, was recently indicted on federal charges that he used...

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