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Articles Posted in Dominic DeBruin

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FINRA Bars Broker Dominic DeBruin Over Private Securities Activity

Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Dominic DeBruin (DeBruin), formerly associated with LPL Financial, LLC (LPL Financial).  According to brokercheck, FINRA found that DeBruin refused to provide information and documents and to appear for on-the-record testimony as requested by FINRA concerning…

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