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Articles Posted in Secure Wealth Management

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Ken Balser Barred by FINRA Over Allegations of Private Securities Transactions

Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) when the regulator barred broker Ken Balser (Balser).  According to FINRA settlement, Balser consented to sanctions that he refused to appear for testimony and provide documents and information to FINRA concerning allegations that he engaged in private…

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