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Needham & Co.

FINRA Fines 10 Firms $43.5 Million On “Toys R Us” IPO

FINRA Fines 10 Firms $43.5 Million On “Toys R Us” IPO 150 150 Rex Securities Law

December 11, 2014 The Financial Industry Regulatory Authority (FINRA) fined 10 brokerage firms a total of $43.5 million for allowing their analysts to solicit investment banking business and for offering…

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