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Tag: suitability

Blog, Securities Fraud Articles

Purshe Kaplan Sterling Investments, Inc. fined by FINRA

Purshe Kaplan Sterling Investments, Inc. (CRD #35747, Albany, New York) recently submitted a Letter of Acceptance, Waiver and Consent in...

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Blog, Securities Fraud Articles

FINRA fines Next Financial for Supervisory Failures

In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered in Houston, Texas, $1 million for supervisory...

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Blog, Securities Fraud Articles

FINRA Arbitration Statistics

FINRA recently published statistics on the securities cases that it administers through its FINRA Dispute Resolution process.  The...

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Blog, Securities Fraud Articles

Wyoming Securities Laws

Each state has its own securities laws. The following are selected sections of the Wyoming securities laws that are generally applicable in...

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Blog, Securities Fraud Articles

Wisconsin Securities Laws

Each state has its own securities laws. The following are selected sections of the Wisconsin securities laws that are generally applicable...

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Blog, Securities Fraud Articles

West Virginia Securities Laws

Each state has its own securities laws. The following are selected sections of the West Virginia securities laws that are generally...

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