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April 23, 2014
Broker Fined and Suspended by FINRA for Recommending Oil and Gas Funds to Clients Not Suitable

The following summation of information is available on FINRA's Website under “Disciplinary and Other FINRA Actions, April, 2014.” Jeffrey Robert Alexander (CRD #5387133, Registered Representative, Colorado Springs, Colorado) was fined $5,000 and suspended by FINRA for three months. Alexander allegedly recommended investors purchase interests in an oil and gas program to fund the drilling of […]

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