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RBC Capital Markets, Olympus Securities, and Three Other Broker-Dealers Settle FINRA Accusations of Selling “Unregistered” Penny Stock

RBC Capital Markets Corp., Equity Station Inc., Fagenson & Co. Inc., Olympic Securities LLC, and Alpine Securities Corp. have consented to pay $385,000 to settle Financial Industry Regulatory Authority that they sold collectively over 7.5 billion in “unregistered” penny stock in Universal Express Inc. shares and made about $8.4 million…

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