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Mark Immel had been awarded $450,000 in arbitration but faced further legal battles.
April 27
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FINRA scolded the firms for alleged operational systems, supervisory and recordkeeping deficiencies.
April 26 -
Filing expected Sunday; advisors expected to receive distributions through retention packages.
January 29 -
Fired adviser Johnny Burris complained the firm forced him to sell unsuitable products to clients, long before it acknowledged to the SEC it violated the federal securities laws.
December 18
