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Academic
: Securities Law Prof BlogOxley Works on Behalf of FINRA for Adviser SRO
By Securites Lawprof
Full post as published by Securities Law Prof Blog on March 21, 2011 (boomark / email).
Racketeering Class Action Filed on Behalf of Foreclosed New York State Homeowners
Racketeering Class Action Filed on Behalf of Foreclosed New York State Homeowners
Undetected Sewage Spill
Prichard Water Works and Sewer Board spends $17 million on upgrades and testing.
Technician Whistleblower
Jury orders DuPont Chambers Works to pay $1.224 million settlement to employee.
Suit Filed On Behalf of 400,000 Michigan Medicaid-Dependents Denied Access to Dental Healthcare
Michigan Medicaid Sued Over Dental Healthcare

FINRA Warnings: Shouldnt There Be a Rule
Congress to Give FINRA Authority over RIAs
Kelvin Koma, William Gray, Dermot Graham Cited By FINRA
Colorado Reduces Licensing Fees for BDs, Sales Reps., IAs and IARs
But Sarbanes-Oxley hasnt actually reduced fraud
FINRA Fines Oppenheimer $4.5 Million for Market Timing








