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Tuesday, December 23, 2014 9:26:55 AM
In December of 2012, FINRA named Delaney Equity Group and David Cameron Delaney as respondents in a complaint alleging that they failed to conduct adequate due diligence to determine if they were participating in a scheme to evade registration requirements of the 1933 Securities Act when they sold shares a low priced unregistered security. The firm sold almost a billion shares of the subject stock. In addition the complaint alleges violations of anti-money laundering policies and failure to perform heightened supervision over one of their representatives with prior disciplinary disclosures.
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