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First Financial Equity Corporation Charged With Failure To Supervise

August 08, 2016 | Posted by : Guiliano Law Group | Churning, Excessive Markups, Failure To Supervise, Investment and Regulatory News | 0 Comments

First Financial Equity Corporation, headquartered in Scottsdale, Arizona, as well as the firm’s Chief Compliance Officer, Melissa Strouse, was named in a Financial Industry Regulatory Authority (FINRA) Department of Enforcement Complaint alleging failure to supervise various aspects of the firm’s operations, including commissions charged by the firm’s staff. Department of Enforcement v. First Financial Equity […]

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First Financial Equity Corporation Charged With Failure To Supervise

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