Connecticut
Tag Archive

February 9, 2011

Former Raymond James Financial Advisor Faces Sentencing for Theft

According to CBS New York, a former Connecticut securities broker faces sentencing

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July 21, 2010

Possible Securities Fraud Involving former Raymond James financial advisor Robert...

The White Law Group is investigating investment recommendations made by former

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November 23, 2009

Wadsworth Investment Co., Inc. and William Frederick Wadsworth of Wallingford,...

FINRA recently announced that Wadsworth Investment Co., Inc. and William Frederick

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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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