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Articles Posted in Non-Traded REITs

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Former Cadaret, Grant & Co. Broker Douglas William Findlay Suspended Over REIT Sales

Douglas William Finlay, Jr., a stockbroker formerly associated with Cadaret, Grant & Co., has entered into a  Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to settle a case in which FINRA alleged that Finlay over-concentrated a customer’s assets in an unsuitable illiquid real estate…

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