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FINRA Bars Former Dawn Bennett Associate

  The Financial Industry Regulatory Authority has barred Bradley Mascho for refusing to appear for on-the-record testimony relating to its investigation of fraud, undisclosed outside...

FINRA Fines New York Brokerage Firm $700,000 for Misleading Sales Literature

The Financial Industry Regulatory Authority has fined New York-based brokerage firm Meyers Associates LP, now known as Windsor Street Capital, $700,000 for using “unbalanced...