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Search results with tag "Of settlement"
STIPULATION AND AGREEMENT OF SETTLEMENT I. …
www.tupublicrecordsettlement.comPage 5 of 36 timely appeal has been filed, the appeal is finally resolved, with no possibility of further appellate or other review, resulting in final judicial approval of the Settlement.
Firms Fined, Individuals Sanctioned Reported for April 2018
www.finra.orgDisciplinary and Other FINRA Actions 3 Adc2Op Firms Fined Berthel, Fisher & Company Financial Services, Inc. (CRD #13609, Cedar Rapids, Iowa) February 5, 2018 – An Offer of Settlement was issued in which the firm was censured, fined