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November 22, 2009
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Blog, Securities Fraud
FINRA recently announced that Fortune Financial Services, Inc. (a FINRA registered broker-dealer based in New Brighton, Pennsylvania ) and Brian Lee Daniels have been censured and fined $125,000 and $25,000 respectively. Additionally, Daniels has been suspended from association with any FINRA member in any principal
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September 30, 2009
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Blog, Securities Fraud
FINRA recently announced that Robyn Lynn O’Hara, formerly of WFG Investments, Inc. in Snellville, George, has been barred from FINRA for securities violations. Without admitting or denying the findings, O’Hara consented to the findings that she engaged in multiple trades in customers’ accounts at her member
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September 18, 2009
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Blog, Securities Fraud
FINRA recently announced that Philip Louis Crouse, Sr., formerly of Nationwide Securities, Inc. in Renfrew, Pennsylvania, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Crouse consented to the findings that he caused the securities in a customer’s
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August 20, 2009
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Blog, Securities Fraud
According to a recent FINRA announcement, Stephanie Murch Haggerty, formerly of Register Financial Associates, Inc. in Atlanta, Georgia, has been fined $10,000 and suspended from associating with any FINRA member firm for 30 days. Without admitting or denying the findings, Haggerty consented to the findings that she
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