Recovery for losses related to research provided by an investment banking firm.
Recovery for losses related to Puerto Rico Bonds and Closed-End Bond Funds.
Recovery for losses related to the recommendation and sale of Non-Conforming Investments (REITs and BDCs) by a National Independent Broker/Dealer
Recovery for losses sustained by client of an RIA.
Recovery for losses related to a Future Income Payment LLC (FIP) program
Recovery for losses related to alternative investments (REITs, Direct Private Placements and Promissory Notes) sold by a regional Broker Dealer.
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