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Alts News

FINRA Fines and Suspends Former Fidelity Advisor

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Drake Uplinger, a former Fidelity Brokerage Services advisor, was suspended and fined by the Financial Industry Regulatory Authority for opening or continuing to maintain...
Alts News

FINRA Fines Barclays Capital $2.5 Million

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The Financial Industry Regulatory Authority censured and fined Barclays Capital $2.5 million for failing to report, or inaccurately reporting, over-the-counter options positions to the...
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