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SEC-FINRA Defense Blog

Under Investigation by the SEC, DOJ or FINRA? If you are under investigation by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state regulators or the Department of Justice (DOJ), stay calm. Your first move should be to call a knowledgeable attorney. Contact The Law Firm of David R. Chase, P.A., in Fort Lauderdale, Florida, at 800-760-0912 for a free and confidential consultation. We will work to minimize any negative consequences...
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