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FSC financial products hearing: live Webcast

The House Financial Services Committee will hold a hearing Wednesday morning to discuss regulatory measures for consumer financial products. Watch the live Webcast here. (Windows...

The House Financial Services Committee will hold a hearing Wednesday morning to discuss regulatory measures for consumer financial products.

Watch the live Webcast here. (Windows Media Player)

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FINRA Slaps Cadaret Grant With $200K Fine Over Ex-Rep’s ‘Ponzi Scheme’

Jeff Berman | July 06, 2020

The broker-dealer “failed to reasonably supervise” a broker’s many undisclosed securities transactions, the regulator says.

FINRA Suspends Another Ex-First Standard Rep

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As things remain uncertain in the market, discover a way to give your clients some stability.

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