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: Securities Law Prof Blog

FINRA Expels Broker Dealer for Illegal Sales of Unregistered Penny Stocks

By Securites Lawprof

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FINRA expelled Barron Moore, Inc. and took disciplinary action against seven individuals for violations arising from the illegal sale of unregistered penny stocks. Those sanctions range from fines and suspensions to permanent bars from the securities industry. The individuals include... read more

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Full post as published by Securities Law Prof Blog on September 03, 2008 (boomark / email).

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