Tag: Samuel Lek

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Finra, exchanges bar Samuel Lek for faulty supervision

Added to Collection on: 2019-12-17 02:56:15

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United States securities law
Financial Industry Regulatory Authority
Regulation
U.S. Securities and Exchange Commission
United States Securities Regulation
Financial markets
Government
Selling away
General Securities Principal Exam
Lek Securities
Samuel Lek

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FINRA, NASDAQ, BX, PHLX, ISE, NYSE, NYSE Arca, NYSE American, Cboe, BZX, BYX, EDGA ...

Added to Collection on: 2019-12-17 00:07:30

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Finance
Money
Financial markets
United States securities law
Stock market
Financial Industry Regulatory Authority
Securities Exchange Act
United States Securities Regulation
Broker-dealer
U.S. Securities and Exchange Commission
Security
Citigroup
Samuel Lek
Lek Securities Corporation

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FINRA, Exchanges Bar Brokerage Firm's Ex-CEO Over Failure to Prevent Market Manipulation

Added to Collection on: 2019-12-17 04:37:30

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Finance
Money
Financial markets
United States securities law
Stock market
Financial Industry Regulatory Authority
Broker-dealer
Securities Exchange Act
U.S. Securities and Exchange Commission
United States Securities Regulation
Citigroup
Security
Lek Securities
Samuel Lek

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