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FINRA Broker Allegations

Allegations against: Malcolm Kanan

Allegation type: Civil

Allegation status: Final

The allegations read: Violated the registration provisions of the securities act of 1933. It was charged that from 1/1/82 to 4/84 thomas raised $2.2 million from investors through the sale of unregistered securities. Thomas sold his own unregistered stock through kanan, his broker

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