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FINRA Broker Allegations

Allegations against: Vincent Joseph Maria Houben

Allegation type: Regulatory

Allegation status: Final

The allegations read: Complaint against houben and company, a partnership comprised, at the time, of one principal and no registered representatives. Violation of rule 15c 3-1 of the sec act of 1934 for failure to maintain minimum capital requirements and the violations of section 4(c)(20 of regulation t.

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