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Douglas Elstun: SEC Fraud Charges Against Kansas Advisor
Former Lenexa, Kansas broker and investment adviser Douglas Elstun (CRD# 2338588) has been named in a pending SEC enforcement action alleging he defrauded his customers. Financial Industry Regulatory Authority (FINRA)...
Read MoreMatt Babrick: $1.1M Complaint Against First Republic Rep
San Francisco broker and investment adviser Matt Babrick (CRD#: 4433983) has received several pending customer complaints alleging cumulative damages of $1.9 million. According to records provided by the Financial Industry...
Read MoreBob & Kristine Hartland: Energy Complaint Against Ameriprise Reps
A pending investor complaint against Ameriprise Financial Services brokers and investment advisers Bob Hartland (CRD# 2253564) and Kristine Hartland (CRD# 2101877) alleges losses of $950,000. According to Financial Industry Regulatory...
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