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Financial Telesis

FINRA Sanctions Financial Telesis Broker Michael R. Smith

FINRA Sanctions Financial Telesis Broker Michael R. Smith 150 150 Rex Securities Law

11/4/2014- Michael R. Smith submitted a Letter of Acceptance, Waiver and Consent to FINRA, in which he did not admit or deny FINRA’s  findings. FINRA alleged that from 2007 through 2012, five…

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