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Articles Posted in Supervisory Failings

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FINRA Has Darrel Michael “Mike” Cruz Under Fire After Alleged Supervisory Failings

Regulatory action pending against president of Scottsdale Capital Advisors D. Michael Cruz, president of Scottsdale Capital Advisors, is involved in a pending regulatory action by FINRA after his alleged involvement in the sale of more than 74 million unregistered shares between three microcap stocks. Cruz has been registered with the…

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