| Financial Industry Regulatory Authority
For helpful information concerning securities regulation and arbitration, contact the website of the Financial Industry Regulatory Authority (formerly known as the National Association of Securities Dealers), at www.finra.org.
United States Securities
and Exchange Commission
Contact the United States Securities and Exchange Commission
at www.sec.gov.
North Carolina Securities
Division
The North Carolina Securities Division is responsible
for enforcement of securities rules and regulations.
www.secretary.state.nc.us/sec/.
Hartzell & Whiteman
Visit our main website at www.hwlawyers.com.
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