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Mar 4, 2022 KIRN Radio Personality Tony Barouti (Barouti Financial) Under Investigation Over Possible GWG Holdings L Bond Sales
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Nov 23, 2018 San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
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Jan 31, 2018 FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms
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Dec 8, 2017 Spencer Edwards' Steven Quoy Suspended for Issuing Misleading Sales Materials for Advertising Sign Investments
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Jan 18, 2017 Tommy Mai Sanctioned for Forging Customer Signatures, Running a Misleading Los Angeles-area TV Show That Discussed Securities
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Apr 5, 2016 FINRA Files Complaint Against BrokerBank, Alleging Misleading Press Releases & Recommendations
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Mar 31, 2016 Alfred Chan Fined & Suspended for Unauthorized Indexed Annuities Sales, REIT Risk Disclosure Failures
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Jul 17, 2015 Misleading Advertising Disguised as Free Lunch or Gift Invitation Still Luring Prospective Investors
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Jul 9, 2015 Securities America, Advisor Barry Armstrong Charged Over Grossly Deceptive Alzheimer's Ad Targeted at Seniors
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