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Business Development Corporations (BDCs)

Most Recent Posts in Business Development Corporations (BDCs)

May 1, 2024 FINRA Barred Former Independent Financial Group (IFG) Broker Brett Arthur Hartvigson of San Diego, California for Refusing to Cooperate With Its Investigation Into Allegations That Were Part of a Complaint. In 2021, While Associated With IFG, Brett Harvgi
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Jan 12, 2024 Austin Dutton's Unsuitable REIT Recommendations Harmed Customers, Says FINRA
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Jan 9, 2024 LPL Financial to Pay $6 Million for Supervisory, Sales Practice, and Review Failures
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May 10, 2023 Centaurus Financial's Donnie Ingram Sanctioned for Unsuitable UIT and REIT Recommendations
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Nov 3, 2022 FINRA Slams Anaheim's Centaurus Financial for Supervisory Failure, Allowing Broker Donnie Ingram to Hire His Own Supervisor
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Apr 1, 2021 Adviser Who Instructed Elderly Customers to Sign Blank Documents and Lied on Forms to Effect Investments in High-Risk, High-Fee Products Sentenced to 17 Years in Prison
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May 1, 2020 Wells Fargo's Bryan Benson Barred After Investigation Into DPP Customer Complaint
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Apr 25, 2020 Lost Money in Risky Oil & Gas Investments During COVID-19? We're Investigating Claims
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Mar 30, 2020 Corona Virus Claims UBS ETRACS ETN Structured Products as Risky Debt Notes Free-Fall
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