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Recent Posts

  • Walden University Doctoral Student Files National Class Action Against Walden
  • Royal Alliance, SagePoint and FSC Securities Fined $9.5 Million for Selling Customers Higher-Priced Products
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  • Coffee With the Senator – March 17, 2016
  • Let’s Eliminate Unpaid FINRA Awards in Customer Arbitrations
  • Prohibited Pay-to-Play Arrangement Between Government Investors and Custodial Bank Executive Results in $12 Million Settlement
  • SEC Examination Priorities for 2016

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