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April 2015
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u5 Press Releases

 



By Meissner Associates, Attorneys at Law
Stock brokers and Financial Advisers are increasingly cognizant of the growth of Brokerage firms and wire houses using the threat of marking up someone's U5 and CRD in order to keep them quiet. Having a FINRA Attorney on one's own side is essential.
By Imbesi Christensen
In the Matter of the FINRA Arbitration between Thomas Campbell, Claimant, vs. Sigma Financial Corporation, Respondent (FINRA Arbitration 10-00378). Expungement request granted after hearing.


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