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September 26, 2011

Securities Regulatory Information Regarding MML Investors Services

The following is a brief breakdown of publicly available information regarding MML

September 26, 2011

Securities Regulatory Information Regarding Commonwealth Financial Network

The following is a brief breakdown of publicly available information regarding

September 22, 2011

Securities Regulatory Information Regarding LPL Financial

The following is a brief breakdown of publicly available information regarding LPL

May 18, 2011

Canaccord Genuity Inc. fka Canaccord Adams, Inc. fined by FINRA

Canaccord Genuity Inc. fka Canaccord Adams, Inc. (CRD #1020, Boston, Massachusetts)

FINRA Award: UBS to Pay Investors $358,000 for YES Strategy
September 17, 2021
RBC Capital Markets to pay $800,000 for Unfair Dealing in Municipal...
September 17, 2021
Deutsche Bank Securities Censured & Fined
September 13, 2021
William “Jeff” Michero, Cambridge Investments, Barred from the Securities Industry
September 13, 2021

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