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FINRA Dangles Cooperation Carrot With Fine-Free Settlements

By Ed Beeson (July 6, 2015, 8:16 PM EDT) -- The Financial Industry Regulatory Authority's decision Monday to not levy fines against three broker-dealers that allegedly overcharged certain mutual fund customers shows there can be extraordinary rewards for extraordinary cooperation, attorneys say, and that could entice others to come clean to the regulator about internal compliance problems they have discovered....

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