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Blog, Securities Fraud Articles

Florida Investment Adviser Peter Bruno Suspended

According to the the South Florida Business Journal, the Financial Industry Regulatory Industry (FINRA) has suspended former Wall street...

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Blog, Securities Fraud Articles

FINRA Bars Florida Broker

According to South Florida Business Journal, former Liberty Partners Financial Services broker, Ariel Luis Hernandez, has been permanently...

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Blog, Securities Fraud Articles

Miami Broker Barred From Industry

According to the South Florida Business Journal, the Financial Industry Regulatory Authority (FINRA) permanently barred former Miami...

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Blog, Securities Fraud Articles

Investigation: Securities America’s Sale of Non-Traded REITs

According to InvestmentNews, Securities America Inc. is under investigation by the Pennsylvania Department of Banking and Securities for...

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Blog, Securities Fraud Articles

FINRA Awards suggest that variable annuities remain a problem

Based on recent awards, it appears that variable annuities continue to be a problem in the securities industry.  From January 1, 2013 to...

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Blog, Securities Fraud Articles

AXA Fined $25 million For Variable Annuity Changes

According to Financial Advisors Magazine, the New York Department of Financial Services fined AXA SA’s U.S. unit $25 million for...

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