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May 17, 2024
Jeffries Broker Cited for Using WhatsApp To Conduct Securities Business
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May 10, 2024
After $13 Million in Penalties for 'Widespread Failure,' Oppenheimer Fined $500,000 for Supervisory and Suitability Gaps
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May 1, 2024
FINRA Barred Former Independent Financial Group (IFG) Broker Brett Arthur Hartvigson of San Diego, California for Refusing to Cooperate With Its Investigation Into Allegations That Were Part of a Complaint. In 2021, While Associated With IFG, Brett Harvgi
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