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"SENIOR INVESTOR ALERT: Free Meal Seminars
Seminars, Specialists and Abusive Sales Practices" - |
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"SEC v. K.W. Brown and Company, et al.," - SEC |
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" A joint power of attorney dies with a joint grantor’s death," - Mark A. Tepper, Esq., |
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"you should always monitor your investments" - NASAA |
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"All brokers must supervise their customer accounts," - Mark A. Tepper |
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"Important Questions to ask your attorney," - Mark Tepper |
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"Analyzing Analyst Recommendations," - SEC |
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"To settle or not to settle: that is the question," - Mark A. Tepper |
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"SRO arbitration is unfair to investors," - Mark A. Tepper |
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"So long as NASD members believe that NASD 10106 has no teeth, it will have no deterrent effect," - Mark Tepper |
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"Investors are not required to prove that the misrepresentation caused their losses. They only have to prove that their reliance did," - Mark A.Tepper |
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"This Survey shows that industry arbitrators have a chilling effect on arbitrators' willingness to enforce Florida's Investor Protection Act," - Mark Tepper |
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"If you want a level playing field, you must fight for it until the
appropriate use of subpoenas are generally understood by arbitrators," - Mark Tepper |
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"His narrow view of the federal securities laws contradicts the plain intent of the federal securities laws investor protection," - Mark Tepper |
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"..a breakdown of institutional controls that unfairly victimized thousands of investors," - Mark A. Tepper |
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"Respondent's Manuals Are Not Confidential,
" - Mark A. Tepper |
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"Commodity Futures Trading Commission Exposes Fraud & Imposes Monetary Sanctions on Numerous South Florida Firms," - CFTC |
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"Prudential Securities, Inc. Ordered to Pay Regulators $600 Million to Resolve Fraud, Other Charges Relating to Improper Market Timing," - NASD |
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"Stock Spams and Scams," - NASD |
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"NASD Hearing Panel Fines American Funds Distributors $5 Million for Directed Brokerage Violations," - NASD |
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"NASD fines Morgan Stanley Firms $2.9 Million for Widespread Violations of NASD Rules" - NASD |
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"A compelling Guest Speaker on Investor Protection, " - NewsMark Public Relations |
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