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Home>FINRA Fines Firm, Separate Broker for Violations

FINRA Fines Firm, Separate Broker for Violations

Financial Planning News

Tue, 16 Apr 2013

The Financial Industry Regulatory Authority fined a firm $37,500 for trade and books and records violations, and a broker $5,000, giving him a four-month suspension, for telling a customer he redeemed bonds rather than sold them without the customer's

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