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Top News In Scottsdale Capital Today - Breaking & Trending Today

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 City , United States , Kevin King , Alan Rosca , Covington Burling , Zachary Knepper , Maranda Fritz , Melinda Steuer , Financial Industry Regulatory Authority , National Securities Clearing Corporation , Public Investors Arbitration Bar Association , New York Stock Exchange , Exchange Commission , York Stock Exchange , American Securities Administrators Association , Industry Regulatory Authority , Alpine Securities , Scottsdale Capital Advisors , Consolidated Audit Trail , Scottsdale Capital ,

Court Gives Boost to Brokerage Firm Challenging Finra's Constitutionality

Court Gives Boost to Brokerage Firm Challenging Finra's Constitutionality
barrons.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from barrons.com Daily Mail and Mail on Sunday newspapers.

District Of Columbia , United States , Us Court , Alpine Securities , Scottsdale Capital ,

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 Singer , Maranda Fritz , Norton Rose Fulbright , National Adjudicatory Council , Salt Lake City Based Alpine Securities , Capital Advisors , Justine Hurry , John Hurry , Scottsdale Capital , Adjudicatory Council , Regulation And Compliance , Fee Disclosures ,