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May 18, 2011

Deutsche Bank Securities, Inc. fined by FINRA

Deutsche Bank Securities, Inc. (CRD #2525, New York, New York) recently submitted a

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May 18, 2011

Credit Suisse Securities (USA) LLC fined by FINRA

Credit Suisse Securities (USA) LLC (CRD #816, New York, New York) recently submitted

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May 16, 2011

Brean Murray, Carret & Co., LLD Fined by FINRA

Brean Murray, Carret & Co., LLC (CRD #23723, New York, New York) recently

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