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Expert Analysis

Trends In FINRA's 2018 Disciplinary Actions

By Brian Rubin and Adam Pollet (October 2, 2018, 1:17 PM EDT) -- With the changing seasons, it's time to pull out your corduroy pants and flannel shirts and enjoy the crisp air, apple picking and pumpkin spice lattes. To get into the spirit of autumn, the Financial Industry Regulatory Authority has been carving up higher fines while the amount of restitution and number of cases fall like the leaves....

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