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Articles Posted in FINRA Rule 2510(b)

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FINRA Suspends and Fines Former First Allied Broker Frank N. Dettenrieder

On July 15, 2014, FINRA suspended Frank N. Dettenrieder, a former financial adviser with First Allied, for twelve days and fined him $5,000 for effectuating discretionary transactions in the accounts of six customers without obtaining prior written authorization from the customers and without having the accounts accepted as discretionary accounts…

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