Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records
https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg
150
150
Robert Rex, Esq.
https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?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