Texas
Tag Archive

January 3, 2011

APS Financial Corporation Expelled By FINRA

Financial Industry Regulatory Authority (FINRA) recently announced that it has

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December 20, 2010

Iowa Broker Dealers Named In Suit Involving Provident Royalties

According to the Business Record, DeWaay Financial Network LLC of Clive and three

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November 24, 2010

FINRA fines Next Financial for Supervisory Failures

In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered

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September 30, 2010

Penson Financial Services and Pinnacle Capital Markets fined by FINRA.

In February 2010, the Financial Industry Regulatory Authority (FINRA) announced that

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July 16, 2010

Investigation Into Possible Securities Fraud Involving Oppenheimer Funds

The White Law Group is investigating possible securities fraud claims involving the

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June 11, 2010

Dallas, Texas Securities Fraud / Broker Fraud Attorney

The White Law Group, LLC is a national securities fraud, securities arbitration,

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October 29, 2009

Gary Robert Stremel, formerly of Citigroup Global Markets, Inc. in...

FINRA recently announced that Gary Robert Stremel, formerly of Citigroup Global

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September 18, 2009

Sheila Dawnell Dowling, formerly of Fidelity Brokerage Services, LLC in...

FINRA recently announced that Sheila Dawnell Dowling, formerly of Fidelity Brokerage

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September 17, 2009

Penson Financial Services, Inc., in Dallas, Texas, fined by FINRA...

FINRA recently announced that Penson Financial Services, Inc. has been fined $38,000

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September 15, 2009

Magistrate Judge Tells Texas Court that Citigroup Global Markets Holding...

The US District Court for the Western District of Texas should confirm an

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