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Articles Posted in NASD Rule 3040

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Dale Allen Ramsperger, Formerly with Securities America, Inc., Suspended by FINRA – Scottsdale, AZ

FINRA has suspended former Securities America, Inc. (SAI) broker Dale Allen Ramsperger from the securities industry for five months. Mr. Ramsperger consented to the sanction and to the entry of findings that he participated in a private securities transaction without prior written disclosure to his firm. His suspension is scheduled to…

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