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Trident Partners Censured and Fined for Inadequate Steepener Supervision
The Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Trident Partners, Ltd. (“Trident”). FINRA...
Staff Attorney
Nov 30, 20172 min read
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Coastal Equities Censured and Fined for Non-Traditional ETF Supervision
The Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Coastal Equities, Inc. (“Coastal Equities”)....
Staff Attorney
Nov 22, 20172 min read
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Foothill Securities Censured and Fined for Real Estate Investment Trusts Supervision
The Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Foothill Securities Inc. (“Foothill”). ...
Staff Attorney
May 20, 20172 min read
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