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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”)....
Christopher Lufrano
2 min read
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James Flower Suspended for Unsuitable VIX Short Term Futures Recommendations
Financial advisor, James William Flower (Flower), recently faced a department of enforcement action in connection with his recommendation...
Christopher Lufrano
2 min read
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