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It is not unusual for a brokerage firm to attempt to raise capital for legitimate business purposes such as expansion of its business or upgrading of its systems. However, not all capital raises are transparent. It is for that reason that we have included this post. Please keep in mind that the information discussed below is general in nature and is not designed to be complete in all material respects. Thus, it should not be relied upon as legal or investment advice. If you have any question, concerning the contents of this post, you should contact a qualified expert.