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SEC Charges Brokers Michael Horowitz, Moshe Marc Cohen with $80 Million Variable Annuity Fraud
The Securities-Based Loan Margin Call Is "Exactly The Risk We Are Focused On," Says FINRA
My Financial Girlfriend CEO Lisa Brumm Sanctioned for Unsuitable Variable Annuity Recommendations
Glendale Securities (Sherman Oaks) Brokers Sanctioned in Penny Stock Misconduct
Pershing LLC Fined $3 Million for Supervisory, Customer Protection Violations

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