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Articles Posted in Thompson National REIT

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FINRA Sanctions Broker Over Unsuitable Concentrations in Private Placement Securities

FINRA has barred broker Daniel P. Deighan (Deighan) for seven months and fined him $27,500 over allegations that he recommended private placements to customers that were not suitable given the customers’ net worth, annual income, and the concentration of the private placements in their accounts. Private placements are securities that…

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