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Jeffrey Alan Arbeit's Securities Violations
Jeffrey Alan Arbeit allegedly violated FINRA Rules 8210 and 2010 by refusing to provide documents and information requested by FINRA...
Christopher Lufrano
2 min read
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Alleged Misconduct of Jose Anthony Quinones
Jose Anthony Quinones allegedly violated FINRA Rules 8210 and 2010 by refusing to provide documents and information requested by FINRA...
Christopher Lufrano
2 min read
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Trading Market Fraud: John Timothy Rice
John Timothy Rice allegedly violated FINRA Rules 5270 and 2010 by sharing material non-public information about imminent customer block...
Christopher Lufrano
2 min read
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Donald J. Everhart's Unsuitable Recommendations
Donald J. Everhart allegedly recommended an unsuitable investment to a retail customer, in violation of Regulation Best Interest (Reg BI)...
Christopher Lufrano
2 min read
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