Reading The FINRA Enforcement Tea Leaves

Posted on Mar 6, 2014 in Uncategorized
Reading The FINRA Enforcement Tea Leaves

For several years the FINRA enforcement arm grew bigger and bigger.  Its staff increased.  The number of actions increased.  The number of fines increased.  The number of bars and suspensions increased.  And the number of litigations/arbitrations was on the rise. Last year, however, appears to have finally fared better for the brokers.  Here are the […]

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