The Financial Industry Regulation Authority (FINRA) announced fines against 12 securities firms for their failure to accurately protect consumer records. FINRA carried out fines, totaling $14.4 million, against 12 securities brokerage firms, including some of the largest-backed firms in the country. FINRA found that these firms storing broker-dealer and consumer records without precautions in place…
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wins $11.5 million
against Morgan
Stanley, as reported
in Barrons
wins $11.5 million
against Morgan
Stanley, as reported
in Barrons