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NASAA, PIABA defend FINRA in existential threat case

NASAA, PIABA defend FINRA in existential threat case
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

Salt lake cityUnited statesKevin kingAlan roscaCovington burlingZachary knepperMaranda fritzMelinda steuerFinancial industry regulatory authorityNational securities clearing corporationPublic investors arbitration bar associationNew york stock exchangeExchange commissionYork stock exchangeAmerican securities administrators associationIndustry regulatory authority

FINRA mounts defense against existential legal threats

FINRA mounts defense against existential legal threats
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

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How the Jewish Kennedys helped save 200,000 Jews in WWII and delayed Iranian nukes

A new book tells how over 150 years the Morgenthaus, a German-Jewish immigrant family, publicized the Armenian genocide, ran the US Treasury and prosecuted mobsters and terrorists

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Alpine Securities argues SEC copied a FINRA case

Alpine Securities has added to its long docket of run-ins with regulators over the last several years, alleging the SEC is piling on.

United statesChris frankelJon henschenChris doubekMaranda fritzLas vegasJoseph walshNational adjudicatory councilHenschen associatesAlpine securitiesLake city based alpine securitiesJohn hurryAdjudicatory councilAlpine chief operations officer joseph walshRegulation and complianceAlternative investments

FINRA seeks to expel Alpine Securities, orders $2 3M in restitution

Alpine Securities will seek to overturn a FINRA finding that it saddled clients with “unreasonable” fees and converted accounts without authorization.

Bill singerMaranda fritzNorton rose fulbrightNational adjudicatory councilSalt lake city based alpine securitiesCapital advisorsJustine hurryJohn hurryScottsdale capitalAdjudicatory councilRegulation and complianceFee disclosures