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Advisors allegedly concealed from clients that the father wasn’t associated with an RIA and used clearing services without authorization.
SA Stone Wealth Management broker also was charged with an indecent assault on a female adult, according to court records.
The trading platform is accused of “material omissions, misrepresentations, and concealment” of payments for order flow deals.
Former General Counsel James Strother once vowed to fight charges alleging he turned a blind eye to "rampant criminal and legal violations."
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