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FINRA’s Bark Turns Into Bite

FINRA’s Bark Turns Into Bite

John Riley
Written by John Riley February 26, 2015

During 2014, the Financial Industry Regulatory Authority (FINRA) more than doubled the fines it levied against investment firms over the previous year. It also markedly increased enforcement actions against firms and reps during the year, including more expulsions and suspensions form the industry. The fact that FINRA’s former bark now has much more of a…

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