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Securities Fraud Blogs from November, 2019
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Nov 20, 2019
FINRA Bars Julie Ann Mineard for Unauthorized Transfer of Funds into Her Own Personal Bank Accounts
Read More
Nov 12, 2019
FINRA Bars Jun 'Justine' Zhou Over Private Real Estate Transactions
Read More
Nov 8, 2019
Cetera's Christopher Kozak Suspended for Undisclosed Outside Business Activity with Nutrition Bar Investments
Read More
Nov 5, 2019
SEC Bars James Booth (Ex-LPL Financial) Over $5 Million Ponzi Scheme Victimizing Elderly Clients
Read More
