FINRA Fines Down 70% in First Half of 2017

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FINRA Fines Down 70% in First Half of 2017
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FINRA Fines Down 70% in First Half of 2017

While the Financial Industry Regulatory Authority continues to zero in on abuses involving mutual fund share classes and senior financial fraud, restitutions ordered by the self-regulatory organization are way up while fines levied and the number of disciplinary cases pursued in the first half of 2017 are way down, according to a just-released analysis by Eversheds…

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