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March 7, 2013
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Blog, Securities Fraud
E.S. Financial Services, Inc. (CRD #104316, Miami, Florida) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $200,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it served as a
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November 14, 2012
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Blog, Securities Fraud
On November 9, 2012, the Securities and Exchange Commission (the “SEC”) charged a Miami-based investment adviser with defrauding his clients by concealing trading losses and diverting investor funds for personal use. The SEC has alleged that Anand Sekaran and his firm Wasson Capital Advisors Ltd. fabricated
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October 24, 2012
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Blog, Securities Fraud
Have you suffered losses investing in leveraged or inverse ETFs recommended to you by former Merrill Lynch financial advisor Giancarlo Ciocca? If so, the securities attorneys of The White Law Group may be able to help you to recover your losses through FINRA arbitration. The White Law Group is investigating the
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October 21, 2009
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Blog, Securities Fraud
FINRA recently announced that CP Capital Securities, Inc., a registered broker-dealer based in Miami, Florida, has been fined $21,500 for various securities violations. Without admitting or denying the findings, CP Capital Securities, Inc. consented to the entry of findings that it acted as the placement agent for a
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