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Expert Analysis

Reg BI Expulsion Shows FINRA Is On The Offensive

By Pete Michaels and Alyssa Scruggs (June 8, 2023, 2:33 PM EDT) -- The Financial Industry Regulatory Authority has acted on its promise to bring Regulation Best Interest to life, announcing on May 12 that it expelled member firm SW Financial and disciplined its CEO and majority owner Thomas Diamante.[1]...

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