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FINRA Fines 25 Firms More Than $2.1 Million for Failures in Mutual ...


Mar 23, 2009 ... ... manner," said Susan L. Merrill, FINRA Executive Vice President and ... Capital Corporation, Steven L. Falk & Associates, Inc. and Securities ...

Tenant-in-common continues to bring in money but industry finds ...


Oct 1, 2006 ... David L. Baker, CLU, CFP is a Real Estate Broker with 35+ years experience in the financial ..... Steven L. Falk & Associates, NV, Broker Dealer.

Recover Losses DBSI Investments-Rex Securities Law-Boca Raton


Steven L. Falk & Associates, $581,000. Askar Corp. $578,000. American Independent Securities Group, $524,000. Capital Financial Services, $481,000.

Schedule 11


Mick & Associates, P.C., LLO. 2. Buttonwood Investment ... Burch & Company. 20. Calton & Associates, Inc. ... SMH Capital, Inc. 111. Steven L. Falk & Associates.

Meet the Friendly DJS Staff | DJS Associates


Steven M. Schorr, PE President of DJS Associates, Inc. Steven is a nationally recognized board-certified consultant in the areas of accident/collision ...

Stockbroker Marilee Hill Under Heightened Supervision


Mar 3, 2016 ... Previous registrations include Concorde Investment Services in St. Croix, Virgin Islands (2011-2014); Steven L. Falk & Associates in ...

Steven L. Crossmock | Groth & Associates


Steven L. Crossmock is an attorney with Groth & Associates. Call him today for a consultation about your case at (419) 930-3030.

Frank Dunn Has Two Regulatory Sanctions - Fitapelli | Kurta


Aug 9, 2016 ... Previous registrations include Steven L. Falk & Associates in Las Vegas, Nevada; Private Asset Group in The Woodlands, Texas; EPlanning ...

Dr. Karen Falk & Associates, Inc. - Karen L. Falk, Psy.D.


Dr. Karen Falk works from a cognitive-behavioral perspective, tailored to meet the specific needs of each client with the goal to improve functioning as quickly as ...

Securities Fraud Attorneys - SHEPHERD, SMITH&EDWARDS, LLP


A B C D E F G H I J K L M N O P Q R S T U V W X Y Z ... Sterne, Agee & Leach, Inc. Case2 Case3 · Steven L. Falk & Associates, Inc. Stifel, Nicolaus & Co., Inc.

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Nearly 100 Small to Midsize Firms Sued for Sales of DBSI TICs :: US ...


Steven L. Falk & Associates $581,000. Askar Corp. $578,000. American Independent Securities Group $524,000. Capital Financial Services $481,000. National ...

Securities Matters Currently Under Investigation | Russell L. Forkey ...


Steven L. Falk & Associates. $581,000. Askar Corp. $578,000. American Independent Securities Group. $524,000. Capital Financial Services. $481,000.

Something in common: Firms that sold TICs from DBSI


Dec 8, 2010 ... Steven L. Falk & Associates, $581,000. Askar Corp. $578,000. American Independent Securities Group, $524,000. Capital Financial Services ...