October, 2018
Archive

LPL October 31, 2018

FINRA Fines LPL Financial $2.75 Million

FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures

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Bruce Plyer October 31, 2018

Bruce Plyer Barred from Securities Industry

Bruce Plyer – Morgan Stanley – Florham Park, New Jersey According to the

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Wheeler Real Estate Investment Trust October 28, 2018

Wheeler Real Estate Investment Trust Investigation

Investigating Potential Claims involving Wheeler Real Estate Investment Trust Are

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James River Coal Inc. October 28, 2018

James River Coal Inc. – Securities Investigation

Investor Alert – James River Coal Inc. Are you concerned about your investment

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Alex G. Herrera October 26, 2018

UBS Faces Lawsuit over Failure to Supervise Former Broker, Alex...

Alex G. Herrera – UBS Financial – Coral Gables, FL According to a press

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William A. Hightower Indicted, featured by top securities fraud attorneys, the White Law Group October 26, 2018

William A. Hightower Indicted on 13 Counts of Fraud &...

William A. Hightower – Hightower Capital Group – Investigation According to

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