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- Watsonville Stockbroker Ordered to Pay $160,000 to Elderly Woman That Invested Her Life Savings in Non-Traded REITs
7 November 2019 - Recent Examples of Stockbrokers Engaging in Elder Financial Abuse and Senior Investment Fraud Illustrate a Growing Problem
11 December 2018 - 5 Warning Signs of Senior Investment Fraud and Elder Financial Abuse
13 November 2018 - California Statute of Limitations in FINRA Arbitration
5 November 2018 - California Securities Fraud Lawyer Blog Report: LPL Financial Fined $2.75 Million—Failed to Report Customer Complaints
2 November 2018 - Wells Fargo Advisors Agrees to Pay Over $5 Million to Settle Securities Fraud Charges
28 October 2018 - Ameriprise Pays $230,000 Securities Fraud Fine for Selling High-Fee Mutual Fund Shares
29 June 2018 - Justice for Small Investors Using FINRA’s Simplified Arbitration Process
15 November 2017 - October is FINRA Mediation Settlement Month
5 October 2017
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