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H&R Block Financial Advisors (Formerly Olde Discount) Sanctioned For Late Filings of Broker Complaints, Hiring and Firing Notices
The SEC has charged Ohio broker Stephen Donahue of Donahue Securities with cheating as many as 250 investors out of $6 million.
The firm was censured, fined $40,000 and required to submit amended written procedures to the NASD.
H&R Block / Olde Discount failed to timely file its DRPs, Forms U-4 and U-5. The firm did not admit or deny the allegations.
Source: NASD Regulation, Inc., March, 2001
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