Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records
http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg
150
150
Rex Securities Law
http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g
December 2016- Washington In a News Release, the Financial Industry Regulatory Authority (FINRA) announced that the following firms were fined a total of $14.4 million for deficiencies relating to the…
read more