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FINRA Floats New Penalty To Deter Recidivist Brokers

By Alison Noon (May 2, 2019, 2:32 PM EDT) -- The Financial Industry Regulatory Authority on Thursday proposed making broker-dealers staffed by people with a history of misconduct on Wall Street put cash or securities in reserve, with the expectation that the firms may eventually owe investors money or correct their ways to get back the capital....

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