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First Independent Financial Services

First Independent Financial Services Broker Sanctioned by Regulators-Dallas

First Independent Financial Services Broker Sanctioned by Regulators-Dallas 150 150 Rex Securities Law

June 12, 2015 James Michael Ham  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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