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Articles Posted in FINRA 8210

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I’m FINRA Licensed and Under Internal Investigation: What Should I Do?

“My broker dealer wants me to meet with its lawyers.”  This is the start of a FINRA registered representative’s worst nightmare. Your heart is pounding and your head starts to race.  “Why me?” “What do they want to know?”  “What could I have done?”  “Are they going to ask me…

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