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FINRA Says Firm Broke Reg BI With Private Placement Sales

By Emilie Ruscoe ( December 2, 2025, 2:52 PM EST) -- A Manhattan brokerage faces Financial Industry Regulatory Authority claims that it recommended $24 million in investments without a reasonable basis to believe they were in the best interest of its clients, while the firm's CEO was accused of pocketing undisclosed markups and its chief compliance officer allegedly failed to conduct due diligence on the offerings....

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