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August 22, 2009

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August 22, 2009

UBS Securities LLC, based in Stanford, Connecticut, fined by FINRA.

UBS Securities LLC was recently fined $320,000 by FINRA and required to revise its

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ETFs August 22, 2009

Risks of Investing in leveraged and inverse exchange-traded funds (ETFs)

Exchange-Traded Funds The SEC and FINRA recently issued an Alert about

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August 20, 2009

Attorney DirectoryAdd Your URL FREE, Boost Your Web Site’s Traffic &

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August 20, 2009

Ryan Muneo Kimura, formerly of Sun Life Financial Distributors, Inc....

According to a recent FINRA announcement, Ryan Muneo Kimura, formerly of Sun Life

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August 20, 2009

Stephanie Murch Haggerty, formerly of Register Financial Associates, Inc. in...

According to a recent FINRA announcement, Stephanie Murch Haggerty, formerly of

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August 20, 2009

Eric Evan Everson, formerly of Brokers International Financial Services, LLC...

According to a recent FINRA announcement, Eric Evan Everson, formerly of Brokers

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August 20, 2009

Francis Michael Evans, formerly of NY Life Securities in LaGrange,...

According to a recent FINRA announcement, Francis Michael Evans, formerly of NY Life

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August 20, 2009

James Stephen Eckes, of Parrish, Florida (outside of St. Petersburg),...

According to a recent FINRA announcement, James Stephen Eckes, of Parrish, Florida,

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August 19, 2009

Andres Luis Delmas, in Miami, Florida, fined by FINRA and...

FINRA recently announced that Andres Luis Delmas, in Miami, Florida, has been fined

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