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Meet The Attorneys
- Jonathan W. Evans
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Securities
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Net Capital Violation

Securities Fraud Blog
Categories
Net Capital Violation

Posts In Net Capital Violation

Wedbush Fined $1.5 Million Over Customer Protection and Supervisory Failures Feb 12
FINRA fined Los Angeles-headquartered brokerage Wedbush Securities Inc $1.5 million for supervisory ...
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Charles Schwab Fined $2 Million for Significant Net Capital and Supervisory Deficiencies Aug 26
FINRA fined Charles Schwab & Co., Inc. $2 million for multiple net capital deficiencies which ...
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Sharon Kwan (Quan) Fined and Suspended for Undisclosed Outside Business Activities, Joint Bank Account with Client
Fired from Raymond James, Wedbush Hires Michael Paul Massey & William Romans, Brokers Accused in Pending Case of Drug Charges
Cetera Financial Group & Cetera Advisors Paid $4.2 Million Over Mutual Fund Misconduct
Ex-Merrill Lynch Broker Alec Rivera Pleads Guilty to $1 Million Theft from Clients
Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages

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