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Do you believe an investment broker mismanaged your money?

Public FINRA records indicate there are numerous brokers who face customer complaints and/or regulatory investigations. Currently Thomas Law Group is seeking to hear from Investors who had their accounts entrusted to Russell G. Cappelen Jr. (CRD# 1261781) at UBS Financial Services, Inc. According to FINRA broker check, Russell Cappelen may have ignored customer’s circumstances and …

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Brokers: problems with FINRA inquiry after leaving Fidelity Investments?

If you were a Fidelity Investments broker who was forced to resign due to the Acclaris/ WageWorks Computer Equipment Purchase Assistance Program or Fitness Reimbursement Program which resulted in a Form U5 disclosure – contact us today. You will receive or have already received an inquiry letter from FINRA regarding your participation in these Programs. …

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Although global growth estimate is cut, U.S. economy pegged at slow but steady grow.

Despite the market woes and persistent fears over the Chinese yuan affecting global markets, many analysts still expect the U.S. economy to expand at a slow but steady 2.5% annual rate. Consumers are increasing their spending and the unemployment is at its lowest since 2008. According to Wall Street Journal, “growth stocks—shares of companies that …

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Biggest Market Sell off in over 75 years.

Bloomberg reports: “The S&P 500 has closed more than four standard deviations below its 50-day moving average for the third consecutive session. That’s only the second time this has happened in the history of the index.” Further, according to Bespoke Investment Group, “Not even the crash of 1987 got this oversold relative to trend”. The declining …

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LPL Financial fined $11.7 million for ‘widespread supervisory failures’

FINRA said the firm failed to properly supervise sales of complex products, including certain ETFs, variable annuities and non-traded REITs May 6, 2015 The Financial Industry Regulatory Authority Inc. ordered LPL Financial to pay $11.7 million in fines and restitution for what it deemed “widespread supervisory failures” related to sales of complex products, according to …

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