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March 26, 2018

Sanders Spangler, former LPL Financial LLC Stockbroker, Barred from Securities Industry for Failing to Cooperate with FINRA’s Investigation into Alleged Unauthorized Trading

According to public records, FINRA barred former broker Sanders Spangler from the securities industry on March 26, 2018.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Sanders Spangler because he declined to give sworn testimony regarding

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Investors in Alaska Financial Company III may have options to recover losses following the fund operators settling SEC fraud charges.

On March 22, 2018, the Securities and Exchange Commission (“SEC”) announced it settled fraud charges against the operators of the Alaska Financial Company III, LLC (“AFC III”) real estate fund that was allegedly used to bilk millions of dollars from investors. AFC III is operated by Tobias Preston, his brother, Charles Preston, and his son,

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