• / Free eNewsletters & Magazine
  • / My Account
Home>FINRA Fines Five ING Affiliates $1.2M for Email Violations

FINRA Fines Five ING Affiliates $1.2M for Email Violations

Advisor One

Tue, 19 Feb 2013

The Financial Industry Regulatory Authority (FINRA) announced Tuesday that it has fined five affiliates of ING $1.2 million for failing to retain or review millions of emails for periods ranging from two months to more than six years.

Related Videos

  1. Conditions Ripe for More Market Turbulence

    After a period of relative calm, the Italian elections and fight over the sequester underscore some of the structural problems facing the global economy; investors should be prepared for volatility, says Morningstar's Jeremy Glaser.

  2. How to Spot Con Men Before They Spot You

    Doug Shadel of the AARP provides a detailed outline of common scams and tactics con men use, reasons investors fall for them, and tips so that you don't become a victim of financial fraud yourself.

©2017 Morningstar Advisor. All right reserved.