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Latest Blog Posts
  • 25 Jul
    Nicholas Duthie: Osaic Fires Advisor After Investigation

    Oklahoma City, Oklahoma financial advisor Nicholas Duthie (CRD# 5870451) was recently fired by his former member firm in connection with...

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  • 25 Jul
    David Soiferman: Why Was Advisor Fired by Ameriprise?

    Orlando, Florida financial advisor David Soiferman (CRD# 1990243) was recently fired by a former member firm in connection with alleged...

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  • 22 Jul
    James Nelson: Realta Advisor Lands Suitability Complaint

    Lake Wales, Florida financial advisor James Nelson (CRD# 1931451) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...

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  • 22 Jul
    Andrew Andreotta: Park Ave Advisor Resigned over Forgery Allegations

    Hendersonville, Tennessee financial advisor Andrew Andreotta (CRD# 6980955) resigned from his former member firm in connection with alleged rule violations....

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