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Academic

: Securities Law Prof Blog

FINRA Expels Texas Firm for Excessive Mark-ups

By Securites Lawprof

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FINRA expelled APS Financial Corporation, located in Austin, Texas, barred the firm's former President, George Conwill, and barred Peter Aman, a former broker at the firm, in a scheme which overcharged an elderly investor by $1.2 million. FINRA found that...

Full post as published by Securities Law Prof Blog on December 29, 2010 (boomark / email).

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