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March 7, 2013
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Blog, Securities Fraud
The Tidal Group, Inc. (CRD #39782, Schertz, Texas) recentlysubmitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $20,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it provided inaccurate information
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March 7, 2013
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Blog, Securities Fraud
Lincoln Financial Securities Corporation (CRD #3870, Concord, New Hampshire) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $175,000. The firm has already paid $5.63 million in restitution to investors. Without admitting or denying the findings, the firm
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March 7, 2013
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Blog, Securities Fraud
KMS Financial Services, Inc. (CRD #3866, Seattle, Washington) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $50,000, which includes the disgorgement of financial benefits received of $7,727.13. Without admitting or denying the findings, the firm consented to the
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March 7, 2013
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Blog, Securities Fraud
Deutsche Bank Securities Inc. (CRD #2525, New York, New York) recentlysubmitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $175,000, and required to pay $10,314.44, plus interest, in restitution to customers. Without admitting or denying the findings, the firm consented to the
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March 4, 2013
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Blog, Securities Fraud
Are you concerned about your investment in Cole Credit Property Trust II? If so, the following information may be of some assistance to you. According to Cole Capital’s website, the Cole Credit Property Trust II (CCPT II) recently announced the approval of a definitive agreement to merge with Spirit Realty Capital
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March 4, 2013
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Blog, Securities Fraud
The White Law Group continues to investigate potential FINRA arbitration claims against the broker-dealers that may have improperly sold Sala-Multi Series Fund and Foresee Strategies Insurance Funds. The hedge funds, Foresee Strategies Insurance Fund, were issued by Sun Life Financial as variable annuity subaccounts
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