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Home>Disciplinary Actions for Advisor Advertising Rise, Fines Down: FINRA

Disciplinary Actions for Advisor Advertising Rise, Fines Down: FINRA

Financial Planning News

Thu, 21 Mar 2013

"The primary reason for the drop-off in fines was because there were no auction rate securities cases in 2012," said Brian Rubin, partner in the Washington, D.C., law firm Sutherland Asbill & Brennan.

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