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Articles Posted in Carolina Financial Securities

FINRA Hearing Panel Fines Carolina Financial Securities, LLC For Promissory Note Sales
InvestorLawyers

FINRA fined Carolina Financial Securities, LLC (“CFS”) of Brevard, North Carolina $60,000 and served it with a Letter of Caution in a case involving allegations that CFS made material misrepresentations and omissions in connection with the sale of securities. FINRA also found that that the firm recommended securities- certain senior secured notes- to customers without…

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