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News and Alerts >
Information Notice – 1/20/15
New Rate for Fees Paid Under Section 31 of the Exchange Act
News Release – 1/14/15
FINRA Hearing Panel Expels John Carris Investments and Bars CEO George Carris for Fraud
News Release – 1/9/15
FINRA Hearing Panel Expels John Thomas Financial and Bars CEO Tommy Belesis
News Release – 1/6/15
FINRA Releases 2015 Regulatory and Exam Priorities Letter
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