By Steve Kardell | Published July 27, 2017 | Posted in Fraud | Tagged Tags: FINRA, issuing penalties, new guidelines |
The Financial Industry Regulatory Authority (FINRA), a self-regulatory agency, has updated its sanctions guide to ensure in-house judges consider whether broker-dealers took advantage of elderly or vulnerable clients when making their rulings. The agency also expanded its guidance related to how judges should adjust penalties when sanctions have been imposed by other federal agencies, in Read More
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